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KP

Kenneth R. Pierce

NORTH CAPITAL PRIVATE SECURITIES
Salt Lake City, UT 84047
Some features on this profile are disabled
CRD#: 5184314
KP

Professional summary

Kenneth Robert Pierce, who also goes by Kenneth Robert Pierce, Kenneth Pierce, is a registered financial professional currently at NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2007. Kenneth has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kenneth Robert Pierce | Kenneth Pierce

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 Robert Pierce'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

October 7, 2025 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
BD
CRD#: 154559
Salt Lake City, UT
Past

May 9, 2023 - September 6, 2023

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
SALT LAKE CITY, UT
Past

June 22, 2020 - June 9, 2021

AEL FINANCIAL SERVICES, LLC

BD
CRD#: 300285
New York, NY
Past

February 19, 2020 - June 1, 2020

STRATFORD PARTNERS

BD
CRD#: 164954
NEW YORK, NY
Past

January 22, 2019 - February 19, 2020

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
SALT LAKE CITY, UT
Past

November 15, 2016 - August 3, 2017

HALES SECURITIES, LLC

BD
CRD#: 104415
NEW YORK, NY
Past

February 26, 2007 - February 4, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/15/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559 / SEC#: , 8-68648

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

Main Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Mailing Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Phone number
(415) 315-9916
Established
Delaware since 05/20/2010
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.OWNER
ANDERSON, JOSEPH CARLCHIEF COMPLIANCE OFFICER, CHIEF AML COMPLIANCE OFFICER4644204
BEATON, DANIEL STEWARTFINOP/CFO4240769
DOWD, JAMES PATRICKPRESIDENT, EXECUTIVE REP., H.O. SUPER2109413

Disclosures

Regulatory Event1

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

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559Salt Lake City, UT 84047

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