Ken K. Mapatuna
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.
Ken Kusala Mapatuna, who also goes by Kusala Mapatuna, was a registered financial professional .
Ken is a previously registered financial professional and started their career in finance in 2004. Ken had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2014 - October 29, 2018
COMERICA SECURITIES
March 10, 2014 - October 29, 2018
COMERICA SECURITIES
June 16, 2011 - March 16, 2012
CHASE INVESTMENT SERVICES CORP.
June 16, 2011 - March 16, 2012
CHASE INVESTMENT SERVICES CORP.
November 1, 2010 - August 15, 2011
SIGMA PRIVATE CLIENT ADVISORS, LLC
November 24, 2009 - October 7, 2010
WELLS FARGO INVESTMENTS, LLC
November 24, 2009 - October 7, 2010
WELLS FARGO INVESTMENTS, LLC
July 26, 2007 - November 25, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 2, 2007 - November 25, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 6, 2004 - May 23, 2007
CHASE INVESTMENT SERVICES CORP.
March 15, 2004 - June 28, 2004
METROPOLITAN LIFE INSURANCE COMPANY
March 15, 2004 - June 28, 2004
MSI FINANCIAL SERVICES, 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
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
