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Kenneth William Gurrola Esq.

CRD# 5657027·Registered 2009 - 2019
Barred: Kenneth William Gurrola ESQ. was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Kenneth William Gurrola ESQ. was a registered financial advisor. Kenneth was a previously registered financial professional and started their career in finance 2009 - 2019. Kenneth had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

17 years in the financial services industry

Current & Past Employments

EASTRIDGE CAPITAL, LP·CRD# 165579
BD
New York, NY
August 16, 2013 - July 22, 2019
MURIEL SIEBERT & CO., LLC·CRD# 5376
BD
New York, NY
March 5, 2012 - August 2, 2012
KAUFMAN BROS., L.P.·CRD# 37909
BD
New York, NY
April 24, 2009 - February 10, 2012

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Current Firm

EC
EASTRIDGE CAPITAL, LP

EASTRIDGE CAPITAL, LP

CRD#: 165579 / SEC#: 8-69167
BD
Cancelled by SEC on 06/09/2022

Contact Information

Established

Delaware since 08/09/2012

Firm Type

Other Types of Legal Formation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GURROLA, KENNETH WILLIAM ESQ.CEO, CFO, COO, CLO, INTERIM CCO5657027
BAUER, CHARLES ALBINCCO AND AML COMPLIANCE, MANAGING DIRECTOR6235619
EASTRIDGE CAPITAL GROUP, LLCGP—

Disclosures

Regulatory Event

1

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2009About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2009About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Feb 2013About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jul 2009About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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