Kenneth A. Grace
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 Arthur Grace MR., who also goes by Kenneth Arthur Grace, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1977. Kenneth had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2010 - July 12, 2022
FAI ADVISORS, INC.
March 2, 2004 - November 20, 2024
ON INVESTMENT MANAGEMENT CO
February 19, 2004 - November 20, 2024
THE O.N. EQUITY SALES COMPANY
January 4, 1993 - February 25, 2004
WALNUT STREET ADVISERS INC
January 29, 1987 - February 25, 2004
WALNUT STREET SECURITIES, INC.
November 2, 1984 - January 30, 1987
MARINER FINANCIAL SERVICES, INC.
March 23, 1977 - February 9, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
FAI ADVISORS, INC.
CRD#: 122132 / SEC#: 801-127868
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 1
Date: 3/14/1977
Registered Representative ExaminationCurrent Firm
FAI ADVISORS, INC.
CRD#: 122132 / SEC#: 801-127868
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 901 |
| AUM (Assets Under Management) | $ 301,249,305 |
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.
