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KH

Kenneth A. Hines

Some features on this profile are disabled
CRD#: 724720
KH

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.

Kenneth Allen Hines JR, who also goes by Al Hines, Allen Hines, was a registered financial advisor .

Kenneth is a previously registered financial advisor and started their career in finance in 1981. Kenneth had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 5, Series 3, Series 53, Series 24, Series 4 and Series 12 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Al Hines | Allen Hines

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 23, 2018 - December 4, 2025

XNERGY FINANCIAL LLC

BD
CRD#: 144436
LOS ANGELES, CA
Past

May 2, 2009 - October 12, 2011

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
ESCONDIDO, CA
Past

May 2, 2009 - October 12, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
ESCONDIDO, CA
Past

March 11, 2009 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
ESCONDIDO, CA
Past

March 10, 2009 - May 2, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
ESCONDIDO, CA
Past

December 19, 2007 - April 1, 2009

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
PRESCOTT, AZ
Past

December 13, 2007 - April 1, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
PRESCOTT, AZ
Past

April 9, 2003 - December 17, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
PRESCOTT VALLEY, AZ
Past

April 8, 2003 - December 17, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
PRESCOTT VALLEY, AZ
Past

May 4, 2000 - June 28, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 31, 1993 - April 18, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 15, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

February 23, 1981 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/1/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/17/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 2/5/1991
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 3
Date: 6/12/1986
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/9/1988
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/1988
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/1/1983
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 9/18/1982
NYSE Branch Manager Examination

Current Firm

XF
XNERGY FINANCIAL LLC
XNERGY FINANCIAL CORPORATION | XNERGY FINANCIAL LLC

CRD#: 144436 / SEC#: , 8-67655

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

Main Address
1801 Century Park East 25th Floor, Los Angeles, CA, 90067
Mailing Address
1801 Century Park East 25th Floor, Los Angeles, CA, 90067
Phone number
(310) 552-0000
Established
California since 12/15/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
XNERGY, LLCSHAREHOLDER
JACOBS, MARK STUARTCEO2295215
KODMAN, EDWARD GRANTFINOP8163156
SOBCZAK, AMRICCHIEF COMPLIANCE OFFICER6752202
STEFANY, NIAFOUNDER5406554

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

XNERGY FINANCIAL LLC

CRD#: 144436

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