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KS

Kenneth A. Sommers

PCE INVESTMENT BANKERS
Littleton, CO 80120
Some features on this profile are disabled
CRD#: 7737776
KS

Professional summary

Kenneth Andrew Sommers, who also goes by Ken Sommers, is a registered financial professional currently at PCE INVESTMENT BANKERS, INC. located in Littleton, Colorado.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2023. Kenneth has worked at 1 firm and has passed the Series 79TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Sommers

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 Andrew Sommers's 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

August 5, 2023 - Present

PCE INVESTMENT BANKERS, INC.

Office #1: 26 W. Dry Creek Circle Suite 600, Littleton, CO 80120Office #2: 200 E. New England Avenue, Suite 400, Winter Park, FL 32789
BD
CRD#: 45352
Littleton, CO

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

General Industry/Product Exam
RR
Series 79TO
Date: 8/4/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/4/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PI
PCE INVESTMENT BANKERS, INC.
PCE INVESTMENT BANKERS, INC. | POOLE CARBONE ECKBERT, INC. | POOLE CARBONE ECKBERT | POOLE CARBONE CAPITAL PARTNERS, INC.

CRD#: 45352 / SEC#: , 8-51030

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

Main Address
200 E. New England Avenue, Suite 400, Winter Park, FL 32789
Mailing Address
200 E. New England Avenue, Suite 400, Winter Park, FL 32789
Phone number
(407) 621-2100
Established
Florida since 07/01/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PCE HOLDINGS, INC.SHAREHOLDER
POOLE, MICHAEL WILLIAMCCO/PRESIDENT/FINANCIAL & OPERATIONS PRINCIPAL/2794464

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

PCE INVESTMENT BANKERS, INC.

CRD#: 45352Littleton, CO 80120

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