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PO

Paul D. Ouweneel

RKCA
Milwaukee, WI 53226
Some features on this profile are disabled
CRD#: 5728528
PO

Professional summary


Paul Daniel Ouweneel, CFP®, who also goes by Paul Ouweneel, is a registered financial professional currently at RKCA, INC. located in Milwaukee, Wisconsin.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2009. Paul has worked at 3 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 79, Series 31 and Series 7 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Paul Ouweneel

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 Paul Daniel Ouweneel's CRS (Customer Relationship Summary).
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®
CFP®

Experience


Current

January 27, 2015 - Present

RKCA, INC.

Office #1: 10000 Innovation Drive, Suite 250, Milwaukee, WI 53226
BD
CRD#: 17655
Milwaukee, WI
Past

January 27, 2011 - April 27, 2012

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

December 14, 2010 - April 27, 2012

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
MILWAUKEE, WI
Past

October 26, 2009 - September 13, 2010

DELOITTE INVESTMENT ADVISORS LLC

RIA
CRD#: 104593
CINCINNATI, OH

State Registrations and Notice Filings


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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(2/17/2015)
RR
Wisconsin
(2/17/2015)

Exams


State Security Law Exam
RR
Series 63
Date: 2/17/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/11/2011
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/17/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 31
Date: 7/11/2011
Futures Managed Funds Examination
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


RI
RKCA, INC.
RIPPE & KINGSTON CAPITAL ADVISORS, INC. | WINTON ASSOCIATES, INC. | RKCA, INC. | RKCA

CRD#: 17655 / SEC#: , 8-35572

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


Main Address
1077 Celestial Street, Cincinnati, OH 45202
Mailing Address
1077 Celestial Street, Cincinnati, OH 45202
Phone number
(513) 371-5533
Established
Ohio since 01/23/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)


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

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
BHATTACHARYA, MONODIP SANKARMANAGING DIRECTOR6589221
COMPTON, THOMAS JOHN IIIMANAGING DIRECTOR6535588
RIPPE, BRENT C.MANAGING DIRECTOR & PRESIDENT5253919
WITT, BRANDON DAVIDPRINCIPAL FINANCIAL OFFICER (FINOP); CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER7903608

Disclosures


Regulatory Event2

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.

Company Information


RKCA, INC.

CRD#: 17655Milwaukee, WI 53226

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