Kenneth R. Cecil
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 Robert Cecil, who also goes by Kenneth R Cecil, was a registered financial advisor .
Kenneth is a previously registered financial advisor and started their career in finance in 1977. Kenneth had worked at 5 firms and has passed the Series 65, Series 63, Series 5, 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 20, 2005 - September 5, 2007
ADVANCED EQUITIES, INC.
January 18, 2005 - September 5, 2007
ADVANCED EQUITIES, INC.
January 3, 2003 - January 11, 2005
OPPENHEIMER & CO. INC.
January 3, 2003 - January 11, 2005
OPPENHEIMER & CO. INC.
August 21, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
March 14, 1979 - January 3, 2003
CIBC WORLD MARKETS CORP.
December 28, 1977 - March 22, 1979
J.P. MORGAN SECURITIES LLC
June 1, 1977 - January 27, 1978
THOMSON MCKINNON SECURITIES 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
Series 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 5/21/1977
AMEX Put and Call ExamCurrent Firm
ADVANCED EQUITIES, INC.
CRD#: 35545 / SEC#: 801-67983, 8-46742
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | OWNER | |
| BAHULEYAN, SAJU | FINOP | 2318290 |
| BAHULEYAN, SAJU | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION | 2318290 |
| BECK, KEITH ENRIQUE | BRANCH MANAGER- CHICAGO | 1690201 |
| BECK, KEITH ENRIQUE | CHIEF COMPLIANCE OFFICER- BROKER DEALER | 1690201 |
| BENDER, BRIAN | MUNICIPAL SECURITIES PRINCIPAL | 1552650 |
| BENDER, BRIAN | ROSFP | 1552650 |
| CHRISTAKOS, BASIL | COMPLIANCE AND BRANCH MANAGER - NEW YORK | 2290795 |
| CROWE, BYRON KEITH | PRESIDENT | 1586181 |
| DAUBENSPECK, KEITH GREGORY | CHAIRMAN AEFC | 1463372 |
| GARTNER, MATTHEW S | COMPLIANCE MANAGER - CHICAGO | 5625600 |
| MECHAM, LEONIDAS CARTER | CHIEF FINANCIAL OFFICER | 5422991 |
| PASCAL, GERALD PALMER | COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO | 5033755 |
| PASCAL, GERALD PALMER | AML COMPLIANCE OFFICER | 5033755 |
| ROGERS, DAVID SHAWN | CHIEF OPERATING OFFICER | 3081518 |
| ROGERS, DAVID SHAWN | NATIONAL SALES DIRECTOR | 3081518 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
