Kevin M. Werner
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.
Kevin Matthew Werner, who also goes by Kevin M Werner, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2014. Kevin 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
September 18, 2018 - August 3, 2021
FISHER INVESTMENTS
January 27, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 17, 2016 - March 9, 2018
SCOTTRADE, INC.
February 25, 2015 - July 25, 2016
WELLS FARGO CLEARING SERVICES, LLC
December 23, 2014 - July 25, 2016
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
