Kenneth R. Mcdonald
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 Ray Mcdonald, who also goes by Kenneth R Mcdonald, was a registered financial advisor .
Kenneth is a previously registered financial advisor and started their career in finance in 1976. Kenneth had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2015 - December 31, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
August 19, 2013 - July 1, 2015
NEWPORT COAST SECURITIES, INC.
March 15, 2010 - February 6, 2013
CROWN CAPITAL SECURITIES, L.P.
June 5, 2003 - August 20, 2009
CROWN CAPITAL SECURITIES, L.P.
January 23, 2003 - June 6, 2003
GIRARD SECURITIES, INC.
January 22, 2003 - June 6, 2003
GIRARD SECURITIES, INC.
November 11, 2002 - January 23, 2003
PACIFIC WEST SECURITIES, INC.
August 19, 1999 - December 31, 2008
TRITON ASSET MANAGEMENT
November 30, 1998 - December 9, 2002
SENTRA SECURITIES CORPORATION
November 16, 1998 - December 9, 2002
SENTRA SECURITIES CORPORATION
July 11, 1994 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
January 17, 1994 - June 27, 1994
NIF SECURITIES, INC.
August 30, 1982 - April 18, 1983
LEHMAN BROTHERS INC.
March 15, 1982 - May 14, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
October 28, 1980 - March 15, 1982
WEDBUSH SECURITIES INC.
January 31, 1980 - October 4, 1980
UBS FINANCIAL SERVICES INC.
May 1, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 2, 1976 - May 17, 1978
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
