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KS

Kenneth S. Sawyer

HARVESTONS SECURITIES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 6154056
KS

Professional summary

Kenneth Scott Sawyer is a registered financial professional currently at HARVESTONS SECURITIES, INC. located in Greenwood Village, Colorado.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2016. Kenneth has worked at 4 firms and has passed the Series 63, SIE and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Kenneth Scott Sawyer'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®
None

Experience

Current

September 10, 2019 - Present

HARVESTONS SECURITIES, INC.

Office #1: 8301 E. Prentice Ave. Suite 305, Greenwood Village, CO 80111
BD
CRD#: 34509
Greenwood Village, CO
Past

January 2, 2018 - September 3, 2019

ANDES CAPITAL GROUP, LLC

BD
CRD#: 139212
CHICAGO, IL
Past

April 17, 2017 - June 15, 2017

BACKSTROM MCCARLEY BERRY & CO., LLC

BD
CRD#: 124503
SAN FRANCISCO, CA
Past

September 20, 2016 - April 4, 2017

NORTH SOUTH CAPITAL, LLC

BD
CRD#: 148158
CHICAGO, IL

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
Illinois
(12/2/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 9/20/2016
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HARVESTONS SECURITIES, INC.
HARVESTONS SECURITIES, INC.

CRD#: 34509 / SEC#: , 8-46293

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

Main Address
8301 E. Prentice Ave. Suite 305, Greenwood Village, CO 80111
Mailing Address
8301 E. Prentice Ave. Suite 305, Greenwood Village, CO 80111
Phone number
(303) 832-8887
Established
Colorado since 01/15/1993
Firm type
Corporation
Fiscal year end
August
Firm Size
Small
# of Employees

FINRA licenses (5 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#
BASSEY, MORGAN OKONCCO2279731
BASSEY, MORGAN OKONPRESIDENT/ CEO2279731
BASSEY, SUPANGEXECUTIVE VICE PRESIDENT2910155

Disclosures

Regulatory Event1

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

HARVESTONS SECURITIES, INC.

CRD#: 34509Greenwood Village, CO 80111

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