Kenneth C. Davis
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 Charles Davis JR, who also goes by Kenneth Charles David Jr, Ken C Davis Jr, Ken Davis Jr, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1975. Kenneth had worked at 15 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2020 - August 28, 2024
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 10, 2020 - August 28, 2024
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 2, 2018 - January 14, 2020
WOODSTOCK WEALTH MANAGEMENT, INC.
March 2, 2010 - November 7, 2018
WOODSTOCK FINANCIAL GROUP, INC.
January 18, 2007 - December 6, 2019
WOODSTOCK FINANCIAL GROUP, INC.
December 2, 2004 - December 31, 2006
ALLSTATE FINANCIAL SERVICES, LLC
October 20, 2004 - December 2, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - December 2, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 2, 2003 - October 20, 2004
QUICK & REILLY, INC.
July 2, 2003 - October 20, 2004
QUICK & REILLY, INC.
December 31, 2001 - July 8, 2003
MORGAN KEEGAN & COMPANY, LLC
January 14, 2000 - July 8, 2003
MORGAN KEEGAN & COMPANY, LLC
July 17, 1996 - February 3, 2000
WACHOVIA SECURITIES, INC.
August 1, 1995 - July 1, 1996
EDWARD JONES
June 7, 1993 - August 29, 1995
NATIONSSECURITIES
November 14, 1988 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 2, 1987 - November 16, 1988
FIRST TRYON SECURITIES, INC.
May 6, 1985 - February 18, 1987
E. F. HUTTON & COMPANY INC
January 24, 1983 - May 14, 1985
J.C. BRADFORD & CO.
June 18, 1975 - December 18, 1978
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 18, 1975 - December 18, 1978
OSAIC FA, INC.
Primary Firm SEC Registration
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
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
Series 1
Date: 6/16/1975
Registered Representative ExaminationCurrent Firm
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
