Kenneth E. Zellmer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth Eugene Zellmer JR, who also goes by Ken Zellmer Jr, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1974. Kenneth had worked at 17 firms and has passed the Series 66, Series 63, Series 7, Series 22, Series 1, Series 4, Series 53, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2003 - December 3, 2007
MALORY INVESTMENTS, LLC
October 22, 1999 - December 7, 2001
INTERFIRST CAPITAL CORPORATION
September 3, 1998 - October 20, 1999
TRANSGLOBAL CAPITAL CORPORATION
March 7, 1996 - September 5, 1997
BARRON CHASE SECURITIES, INC.
May 18, 1995 - May 22, 1995
GLOBAL STRATEGIES GROUP, INC.
May 18, 1995 - March 13, 1996
VFG SECURITIES, INC.
August 26, 1994 - October 17, 1994
TOLUCA PACIFIC SECURITIES CORP.
May 26, 1994 - August 3, 1994
ASSOCIATED SECURITIES CORP.
August 6, 1993 - June 28, 1994
CALIFORNIA ONE INVESTMENTS
May 11, 1993 - August 23, 1993
CONSOLIDATED INTERCAPITAL CORPORATION
June 10, 1987 - July 9, 1988
CHRISTOPHER WEIL & COMPANY, INC
June 23, 1986 - June 16, 1987
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
March 8, 1984 - June 18, 1986
UBS FINANCIAL SERVICES INC.
February 26, 1982 - March 9, 1984
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
July 15, 1980 - October 15, 1983
DONALD SHELDON & CO., INC.
July 13, 1976 - June 27, 1980
ALVIN COLKER & ASSOCIATES, INC.
February 26, 1976 - May 17, 1976
HENRY V. HAUSER COMPANY
July 1, 1974 - January 18, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 6/26/1974
Registered Representative ExaminationSeries 40
Date: 3/22/1976
Registered Principal ExaminationCurrent Firm
MALORY INVESTMENTS, LLC
CRD#: 110936 / SEC#: , 8-53143
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STEIN, RONALD | MANAGING MBR/CEO/CFO/CCO | 434761 |
| STRAUSS, STEPHEN | MEMBER | |
| ZELLMER, KENNETH EUGENE JR | PRINCIPAL |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
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.
