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KH

Kenneth R. Hancock

FIRST FINANCIAL SECURITIES OF AMERICA
Georgetown, TX 78633
Some features on this profile are disabled
CRD#: 4740595
KH

Professional summary

Kenneth R Hancock is a registered financial professional currently at FIRST FINANCIAL SECURITIES OF AMERICA, INC. located in Georgetown, Texas.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2004. Kenneth has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth R Hancock's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 30, 2007 - Present

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

Office #1: 4500 Williams Drive Ste. 212-424, Georgetown, TX 78633
BD
CRD#: 13642
Georgetown, TX
Past

July 6, 2005 - August 16, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

January 1, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(10/29/2012)
RR
Texas
(1/30/2007)

Exams

State Security Law Exam
RR
Series 63
Date: 1/28/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/22/2003
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
FIRST FINANCIAL SECURITIES OF AMERICA, INC. | TAX SHELTERED INVESTMENTS EQUITIES CORPORATION | SOUTHWEST GENERAL SECURITIES CORPORATION

CRD#: 13642 / SEC#: , 8-29565

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Contact information

Main Address
16945 Northchase Drive Suite 1800, Houston, TX 77060
Mailing Address
Po Box 670329, Houston, TX 77267-0329
Phone number
(281) 847-8422
Established
Texas since 12/04/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
70

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
AMERICAN FIDELITY ASSURANCE COMPANYSHAREHOLDER
BLUTT, PAUL MATHIASCHIEF FINANCIAL OFFICER/FINOP7912579
KEELING, COURTNEY DANAEDIRECTOR, CHIEF COMPLIANCE OFFICER7675059
PRUITT, SHERRIE RENEDIRECTOR, VICE PRESIDENT2691254
SCHNAUTZ, DAWSON LOUISPRESIDENT, DIRECTOR, PRINCIPAL2159228

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

CRD#: 13642Georgetown, TX 78633

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