Kenneth E. Cooner
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 Edward Cooner, who also goes by Ken Cooner, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1974. Kenneth had worked at 6 firms and has passed the Series 63, Series 5, Series 1, Series 4 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
January 3, 2007 - June 29, 2010
SWBC INVESTMENT SERVICES, LLC
February 13, 2003 - December 31, 2006
CETERA WEALTH SERVICES, LLC
November 7, 2002 - January 22, 2003
ESSEX NATIONAL SECURITIES, LLC
April 7, 1993 - June 14, 2002
A. G. EDWARDS & SONS, INC.
September 12, 1978 - December 11, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 1974 - September 26, 1978
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 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 1
Date: 3/6/1974
Registered Representative ExaminationSeries 40
Date: 11/3/1977
Registered Principal ExaminationCurrent Firm
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
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.
