Kenneth J. Belter
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 James Belter, who also goes by Ken Belter, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1976. Kenneth had worked at 15 firms and has passed the Series 63, SIE, Series 55, Series 7 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
February 9, 2017 - June 6, 2017
NYLIFE SECURITIES LLC
January 22, 2016 - July 6, 2016
HILLTOP SECURITIES INC.
April 16, 2013 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
June 11, 2012 - July 31, 2012
APEX CLEARING CORPORATION
July 16, 2009 - July 31, 2012
PENSON FINANCIAL SERVICES, INC.
October 23, 2007 - December 20, 2007
PENSON FINANCIAL SERVICES, INC.
March 2, 2005 - June 22, 2007
HILLTOP SECURITIES INC.
July 27, 2004 - March 2, 2005
PROVASI CAPITAL PARTNERS LP
February 8, 2000 - July 23, 2002
HILLTOP SECURITIES INC.
September 8, 1999 - January 26, 2000
HUBERMAN FINANCIAL INC.
October 20, 1998 - August 19, 1999
HILLTOP SECURITIES INC.
September 20, 1996 - October 27, 1998
HUBERMAN FINANCIAL INC.
December 3, 1990 - July 22, 1996
RAUSCHER PIERCE REFSNES, INC.
February 18, 1988 - December 12, 1990
NASH, WEISS & CO.
May 26, 1987 - April 27, 1988
E. F. HUTTON & COMPANY INC
January 6, 1987 - June 9, 1987
JEFFERIES LLC
October 7, 1983 - July 18, 1986
PRINCIPAL FINANCIAL SECURITIES,INC.
December 15, 1980 - October 14, 1983
SUTRO & CO. INCORPORATED
June 29, 1978 - September 18, 1980
BRAUN, MONROE AND COMPANY
March 2, 1976 - July 26, 1978
ROBERT W. BAIRD & CO. 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
Series 55
Date: 12/18/1998
Limited Representative-Equity Trader ExamCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
