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KV

Kenneth A. Vinograd

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CRD#: 821213
KV

Professional summary

Kenneth Alan Vinograd was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth is a previously registered financial advisor and started their career in finance in 1976. Prior to being barred, Kenneth had worked at 5 firms, which includes FERRIS BAKER WATTS LLC, FIRST UNION CAPITAL MARKETS CORP., CITIGROUP GLOBAL MARKETS INC., G. A. KLIGMAN & CO. INC., FIRST GEORGETOWN SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

May 18, 2001 - June 13, 2008

FERRIS, BAKER WATTS, LLC

RIA
CRD#: 285
WASHINGTON, DC
Past

August 4, 1997 - June 13, 2008

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
WASHINGTON, DC
Past

June 3, 1987 - August 15, 1997

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

April 9, 1979 - June 5, 1987

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

June 8, 1977 - May 23, 1979

G. A. KLIGMAN & CO., INC.

BD
CRD#: 1026
Past

April 20, 1976 - July 14, 1977

FIRST GEORGETOWN SECURITIES, INC.

BD
CRD#: 5871

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
IAR
Series 65
Date: 1/14/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/26/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 9/28/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 5
Date: 10/20/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
PC
Date: 4/12/1979
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 4/10/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
F04
Date: 2/22/1978
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 6/14/1977
Registered Principal Examination

Current Firm

FB
FERRIS, BAKER WATTS, LLC
FERRIS & COMPANY, INCORPORATED | GATEWAY | FERRIS, BAKER WATTS, LLC | FERRIS, BAKER WATTS INCORPORATED

CRD#: 285 / SEC#: , 8-16427

BD
Terminated by SEC on 05/16/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/25/1971
Firm type
Limited Liability Company
Fiscal year end
October
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RBC CAPITAL MARKETS CORPORATION100% OWNER31194
CHAPMAN, JAMES DOUGLASCEO728296
COQUELIN, WILLIAM CARLCHIEF INFORMATION OFFICER
DIRZUWEIT, LENEE BETHROSFP2480492
HARTMAN, CRAIG ROBERTCFO4413090
KAVANAGH, MICHAEL ROBERTDIRECTOR1021014
KERMEEN, DEBORAH JOYCOO2235924
LEAVERTON, KARL VERNONDIRECTOR1106831
RUTHERFORD, PATRICIA ANNCHIEF COMPLIANCE OFFICER5059176
TAFT, JOHN GODFREYDIRECTOR1007933

Disclosures

Regulatory Event32
Arbitration18

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FERRIS, BAKER WATTS, LLC

CRD#: 285

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