Kenneth E. Stocker

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CRD#: 818547

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 Ernest Stocker, who also goes by Ken Stocker, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1976. Kenneth had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ken Stocker

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

November 24, 2015 - May 16, 2022

THE VERTICAL GROUP

CRD#: 104353

RED BANK, NJ

Past

July 17, 2012 - November 6, 2015

VANDHAM SECURITIES CORP.

CRD#: 26258

MANHASSET, NY

Past

October 7, 2010 - July 31, 2012

SECUREVEST FINANCIAL GROUP

CRD#: 10100

MANHASSET, NY

Past

June 2, 2004 - October 7, 2010

SOUND SECURITIES, LLC

CRD#: 122677

JERICHO, NY

Past

April 30, 2002 - May 25, 2004

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

February 2, 2000 - January 4, 2002

BAYOU SECURITIES, LLC

CRD#: 39323

STAMFORD, CT

Past

November 3, 1998 - January 28, 2000

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

August 11, 1998 - November 12, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 9, 1986 - November 29, 1993

RXR SECURITIES INC.

CRD#: 17535

STAMFORD, CT

Past

May 3, 1984 - August 20, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

September 26, 1978 - September 6, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

January 17, 1976 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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

Series 63

Date: 8/31/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/6/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/17/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/13/1986

Financial and Operations Principal Examination

Current Firm

THE VERTICAL GROUP

ATWOOD, MARKS & COMPANY, INC | THE VERTICAL TRADING GROUP, LLC | THE VERTICAL GROUP, INC. | THE VERTICAL GROUP

CRD#: 104353 / SEC#: , 8-52814

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

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Contact information

Main Address

130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701

Mailing Address

99 Wall Street Suite 2280, New York, NY 10005

Phone number

(212) 918-1202

Established

New York since 08/11/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RAS HOLDINGS, LLC	PARENT COMPANY
MARTIN, THOMAS DOMINICK	FINOP, GSP (12/2003), CCO (3/2016)	2363939
SCHAFFER, ROBERT ANDREW	CEO, EXECUTIVE REPRESENTATIVE, GSP (12/2003)	2743384

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Kenneth E. Stocker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VANDHAM SECURITIES CORP.

SECUREVEST FINANCIAL GROUP

SOUND SECURITIES, LLC

NORTHEAST SECURITIES, LLC

BAYOU SECURITIES, LLC

ABN AMRO SECURITIES LLC

UBS FINANCIAL SERVICES INC.

RXR SECURITIES INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/31/1998

SIE

Date: 10/1/2018

Series 3

Date: 8/6/2011

Series 7

Date: 1/17/1976

Series 27

Date: 10/13/1986

Current Firm

THE VERTICAL GROUP

Contact information

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE VERTICAL GROUP

TRUST BUT VERIFY

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