Kenneth Duquette
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 Duquette, who also goes by Kenneth Orin Duquette, Ken Duquette, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2008. Kenneth had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2024 - November 4, 2025
RAYMOND JAMES & ASSOCIATES, INC.
May 20, 2024 - November 4, 2025
RAYMOND JAMES & ASSOCIATES, INC.
January 18, 2023 - May 6, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 2022 - May 6, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2018 - April 6, 2020
DFPG INVESTMENTS, LLC
April 27, 2018 - April 6, 2020
DFPG INVESTMENTS, LLC
January 4, 2018 - April 26, 2018
PRUCO SECURITIES, LLC.
December 4, 2017 - April 26, 2018
PRUCO SECURITIES, LLC.
May 9, 2016 - June 27, 2017
UBS FINANCIAL SERVICES INC.
May 5, 2016 - June 27, 2017
UBS FINANCIAL SERVICES INC.
September 25, 2013 - April 27, 2016
HARRISDIRECT LLC
July 25, 2011 - June 11, 2013
E*TRADE CLEARING LLC
September 19, 2008 - April 27, 2016
E*TRADE SECURITIES LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 7TO
Date: 10/3/2022
General Securities Representative ExaminationSeries 99TO
Date: 10/3/2022
Operations Professional ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
