Kenneth W. Mcgrath

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CRD#: 803887

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 William Mcgrath was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1975. Kenneth had worked at 7 firms and has passed the SIE, Series 7 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

April 21, 1988 - February 7, 2019

POPULAR SECURITIES, LLC

CRD#: 8096

SAN JUAN, PR

Past

March 31, 1981 - May 24, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 30, 1980 - April 27, 1981

BLYTH EASTMAN PAINE WEBBER INCORPORATED

CRD#: 8166

Past

January 31, 1980 - April 27, 1981

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

October 4, 1978 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

August 5, 1976 - September 26, 1978

THE SECURITIES CORPORATION OF PUERTO RICO

CRD#: 4139

Past

January 24, 1975 - August 22, 1976

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

POPULAR SECURITIES, LLC

CRD#: 8096 / SEC#: 801-57928, 8-24216

RIA

Registered Investment Advisory firm - SEC (9/29/2000 Approved)

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

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 40

Date: 8/25/1977

Registered Principal Examination

Current Firm

POPULAR SECURITIES, LLC

CRD#: 8096 / SEC#: 801-57928, 8-24216

RIA

Registered Investment Advisory firm - SEC (9/29/2000 Approved)

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

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Contact information

Main Address

208 Avenue Ponce De Leon Suite 1200, Hato Rey, PR 00918

Mailing Address

208 Avenue Ponce De Leon Popular Center Suite 1200, San Juan, PR 00918-1035

Phone number

(787) 766-4200

Established

Puerto Rico since 01/01/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
POPULAR, INC.	HOLDING COMPANY
ACOSTA-ASHBY, MARLA MARIE	CHIEF OPERATING OFFICER AND ELECTED MANAGER	3256258
CESTERO CASANOVA, LUIS ENRIQUE	ELECTED MANAGER	7829616
CINTRON ROSARIO, OLGA YARITZA	BRANCH MANAGER	5055094
COLON ORTIZ, ROSA ANGELA	SENIOR FINANCIAL COMPLIANCE MANAGER	4202101
DIAZ DEL LLANO, BEATRIZ L	PRINCIPAL FINANCIAL OFFICER	4576581
FERRER, JAVIER DAVID	ELECTED MANAGER	7356518
GARCIA INCLAN, FRANCISCO ROBERTO	CHIEF COMPLIANCE OFFICER	6900966
GARCIA MUÑOZ, JORGE JOSE	ELECTED MANAGER	7902856
TORO LAVERGNE, JAIME ANTONIO	PRESIDENT AND ELECTED MANAGER	5984147
TORRES OLMO, ELSIE M	BRANCH MANAGER	4056079
TORRES RAMOS, JOSE JOAQUIN	PRINCIPAL OPERATIONS OFFICER	1684523

Regulatory assets under management

Total Number of Accounts	2,624
AUM (Assets Under Management)	$ 2,260,511,216

Disclosures

Regulatory Event	6
Arbitration	6

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kenneth W. Mcgrath

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

BLYTH EASTMAN PAINE WEBBER INCORPORATED

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

THE SECURITIES CORPORATION OF PUERTO RICO

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

POPULAR SECURITIES, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 1/18/1975

Series 40

Date: 8/25/1977

Current Firm

POPULAR SECURITIES, LLC

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (37 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

POPULAR SECURITIES, LLC

TRUST BUT VERIFY

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