Kenneth Joseph Stapleton
Professional Summary
Kenneth Joseph Stapleton, who also goes by Ken Stapleton, Kenneth Stapleton, is a registered financial advisor currently at DWS DISTRIBUTORS, INC. located in Boston, Massachusetts. Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2008. Kenneth has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ken Stapleton, Kenneth Stapleton
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
Contact Information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022Phone Number
(312) 537-7000Established
Delaware since 09/20/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | — |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER AND DIRECTOR | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| O'CONNELL, BRIAN PATRICK | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 3089261 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | VICE PRESIDENT | 1950330 |
| VASSIL, JASON TODD | DIRECTOR AND VICE PRESIDENT | 4477245 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
Regulatory Event
5Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2008About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kenneth Joseph Stapleton's CRS (Customer Relationship Summary).
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