Ken K. Taing
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.
Ken Khieng Taing was a registered financial professional .
Ken is a previously registered financial professional and started their career in finance in 2010. Ken had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2017 - November 30, 2017
BROOKSTONE CAPITAL MANAGEMENT LLC
November 15, 2016 - October 4, 2017
ALPHASTAR CAPITAL MANAGEMENT
May 18, 2016 - November 10, 2016
SIGNATOR INVESTORS, INC.
February 13, 2013 - March 22, 2016
MADISON AVENUE SECURITIES, LLC
February 12, 2013 - March 22, 2016
MADISON AVENUE SECURITIES, LLC
September 8, 2010 - December 6, 2012
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
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
Current Firm
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73,650 |
| AUM (Assets Under Management) | $ 10,409,137,908 |
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.
