Kenneth J. Eldi
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 Joseph Eldi, CFP® was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1976. Kenneth had worked at 18 firms and has passed the Series 66, Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2007 - June 7, 2017
HARRISDIRECT LLC
January 12, 2007 - June 7, 2017
E*TRADE SECURITIES LLC
October 29, 2004 - December 4, 2006
TD AMERITRADE, INC.
August 6, 2004 - December 4, 2006
TD AMERITRADE, INC.
March 9, 1999 - July 29, 2004
CHARLES SCHWAB & CO., INC.
July 24, 1998 - January 14, 1999
ESSEX NATIONAL SECURITIES, LLC
July 24, 1998 - January 19, 1999
LASALLE FINANCIAL SERVICES, INC.
August 12, 1997 - May 27, 1998
BLACKFORD SECURITIES CORP.
June 11, 1990 - July 29, 1997
PRIME CHARTER LTD.
March 14, 1988 - June 26, 1990
LEHMAN BROTHERS INC.
February 10, 1986 - February 23, 1988
MOORE & SCHLEY, CAMERON & CO.
July 24, 1984 - February 27, 1986
CITIGROUP GLOBAL MARKETS INC.
April 27, 1982 - July 25, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
October 15, 1980 - May 5, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
April 6, 1979 - October 2, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 1978 - June 7, 1979
MORGAN STANLEY DW INC.
June 27, 1977 - April 2, 1978
ADVEST, INC.
September 27, 1976 - July 16, 1977
THOMSON MCKINNON SECURITIES INC.
March 26, 1976 - October 11, 1976
TODD AND COMPANY, INC.
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
PC
Date: 2/1/1979
AMEX Put and Call ExamCurrent Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
