Kenneth C. Carraro

FINANCIAL PLANNING NORTHWEST

Portland, OR

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CRD#: 5662104

Professional summary

Kenneth Charles Carraro is a registered financial advisor currently at FINANCIAL PLANNING NORTHWEST located in Portland, Oregon.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Kenneth has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Kenneth Charles Carraro'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

February 6, 2023 - Present

FINANCIAL PLANNING NORTHWEST

RIA

CRD#: 324177

Portland, OR

Past

June 11, 2009 - May 24, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PORTLAND, OR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oregon
(2/6/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/1/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/9/2009

General Securities Representative Examination

Current Firm

FINANCIAL PLANNING NORTHWEST

FINANCIAL PLANNING NORTHWEST | FINANCIAL PLANNING NORTHWEST LLC

CRD#: 324177 / SEC#:

Oregon

Registered Investment Advisory firm - (2/6/2023 Approved)

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Contact information

Main Address

Portland, OR

Mailing Address

Phone number

(971) 202-9229

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Kenneth C. Carraro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Charles Carraro's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PLANNING NORTHWEST

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/1/2009

Series 7

Date: 6/9/2009

Current Firm

FINANCIAL PLANNING NORTHWEST

Contact information

Documents

Red Flags

Company Information

FINANCIAL PLANNING NORTHWEST

TRUST BUT VERIFY

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