Kenneth N. Lowe

MGI FUNDS DISTRIBUTORS

Richmond, VA 23219

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CRD#: 4779518

Professional summary

Kenneth Norman Lowe, AIF®, who also goes by Kenneth N Lowe III, Kenneth N Lowe, Kenneth Lowe III, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Richmond, Virginia.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2005. Kenneth has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kenneth N Lowe Iii | Kenneth N Lowe | Kenneth Lowe Iii

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 Norman Lowe's 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 9, 2020 - Present

MGI FUNDS DISTRIBUTORS, LLC

Office #1: 800 E. Canal Street Suite 900, Richmond, VA 23219

CRD#: 35682

Richmond, VA

Past

October 4, 2013 - December 31, 2019

MMC SECURITIES LLC

RIA

CRD#: 103846

Richmond, VA

Past

September 23, 2013 - December 31, 2019

MMC SECURITIES LLC

CRD#: 103846

Richmond, VA

Past

April 16, 2009 - August 30, 2013

ORION INVESTMENT ADVISORS, LLC

RIA

CRD#: 148966

MCLEAN, VA

Past

January 16, 2008 - September 4, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

MCLEAN, VA

Past

January 15, 2008 - September 4, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

MCLEAN, VA

Past

April 10, 2006 - January 16, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RICHMOND, VA

Past

August 29, 2005 - January 16, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RICHMOND, VA

State Registrations and Notice Filings

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

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

Virginia
(1/9/2020)

Exams

State Security Law Exam

Series 63

Date: 2/27/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/26/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/3/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/7/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MGI FUNDS DISTRIBUTORS, LLC

MGI FUNDS DISTRIBUTORS, INC. | OFFIT FUNDS DISTRIBUTOR, INC. | MGI FUNDS DISTRIBUTORS, LLC

CRD#: 35682 / SEC#: , 8-46960

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(866) 251-6920

Established

Delaware since 01/30/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS LLC	DIRECTOR OWNER/SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRESIDENT/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	CHIEF COMPLIANCE OFFICER / VP / TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145

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.

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Advisor Monitoring

Firm Stability Insights

Kenneth N. Lowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Norman Lowe's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMC SECURITIES LLC

MMC SECURITIES LLC

ORION INVESTMENT ADVISORS, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/27/2008

Series 65

Date: 8/26/2005

SIE

Date: 10/1/2018

Series 31

Date: 4/3/2008

Series 7

Date: 4/7/2006

FINRA

Current Firm

MGI FUNDS DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MGI FUNDS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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