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KS

Kenneth J. Stapleton

DWS DISTRIBUTORS
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 5480341
KS

Professional summary

Kenneth Joseph Stapleton, who also goes by Ken Stapleton, Kenneth Stapleton, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Stapleton | Kenneth Stapleton

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 Joseph Stapleton'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®
None

Experience

Current

September 10, 2022 - Present

DWS DISTRIBUTORS, INC.

Office #1: 100 Summer Street, Boston, MA 02110
BD
CRD#: 37306
BOSTON, MA
Past

April 1, 2010 - May 9, 2013

ASCENSUS BROKER DEALER SERVICES, LLC

BD
CRD#: 36478
NEWTON, MA
Past

March 10, 2009 - March 11, 2009

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

March 28, 2008 - March 11, 2009

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
ANDOVER, MA

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
IAR
Series 65
Date: 3/6/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/25/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/10/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/13/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/27/2008
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/9/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DD
DWS DISTRIBUTORS, INC.
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.

CRD#: 37306 / SEC#: , 8-47765

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

Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DWS INVESTMENT MANAGEMENT AMERICAS , INC.SHAREHOLDER
ABBOTT, KEVIN SCHIEF OPERATING OFFICER4210778
BALUYOT, RHEEZA RAMOSCHIEF FINANCIAL OFFICER8028310
CHELEL, NICOLE M.CHIEF COMPLIANCE OFFICER4748490
IKUSS, AMANDA JEANVICE PRESIDENT & DIRECTOR6602098
MAUTE, BRIAN CCHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT2929953
REUTER, MICHELLE SVICE PRESIDENT6572669
SHIELDS, JOHN POWELL JRDIRECTOR & VICE PRESIDENT1950330
WILCZEWSKI, JOEL JOHNVICE PRESIDENT2815498

Disclosures

Regulatory Event5
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

DWS DISTRIBUTORS, INC.

CRD#: 37306Boston, MA 02110

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