Kenneth C. Duke
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 C Duke, who also goes by Ken Duke, Kenneth Christopher Duke, Kenny C Duke, Kenny Duke, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2005. Kenneth had worked at 5 firms and has passed the Series 63 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
April 24, 2014 - August 6, 2014
INVESTORS CAPITAL CORP.
April 2, 2013 - August 22, 2013
NYLIFE SECURITIES LLC
August 6, 2010 - January 10, 2013
FIRST LIBERTIES FINANCIAL
September 5, 2006 - July 1, 2010
WORKMAN SECURITIES CORPORATION
January 24, 2006 - September 11, 2006
WADDELL & REED
September 8, 2005 - September 11, 2006
WADDELL & REED
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
