Kenneth W. Hungate
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 Wayne Hungate was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1977. Kenneth had worked at 14 firms and has passed the Series 63, Series 65, 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
February 1, 2019 - April 23, 2019
LPL FINANCIAL LLC
February 1, 2019 - April 23, 2019
LPL FINANCIAL LLC
April 19, 2016 - February 1, 2019
KESTRA ADVISORY SERVICES, LLC
December 3, 2010 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
November 30, 2010 - February 1, 2019
KESTRA INVESTMENT SERVICES, LLC
December 10, 2009 - November 29, 2010
NRP ADVISORS, INC.
December 10, 2009 - November 29, 2010
NRP FINANCIAL, INC.
December 16, 2008 - December 7, 2009
NEW ENGLAND SECURITIES
October 17, 2008 - December 7, 2009
NEW ENGLAND SECURITIES
October 2, 2006 - September 30, 2008
EMPOWER FINANCIAL SERVICES, INC.
November 15, 2002 - October 3, 2006
METROPOLITAN LIFE INSURANCE COMPANY
November 15, 2002 - October 3, 2006
MSI FINANCIAL SERVICES, INC.
July 1, 1991 - December 19, 2002
WALNUT STREET SECURITIES, INC.
July 3, 1986 - December 19, 1986
CONSECO FINANCIAL SERVICES, INC.
June 10, 1982 - July 1, 1991
GENERAL AMERICAN LIFE INSURANCE COMPANY
March 15, 1978 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
April 18, 1977 - March 18, 1978
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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: 5/9/1977
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
