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KC

Kenneth T. Casey

Some features on this profile are disabled
CRD#: 846233
KC

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 Thomas Casey, who also goes by Ken Casey, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1982. Kenneth had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Casey

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

December 20, 2012 - December 3, 2019

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

November 15, 2011 - January 3, 2012

GCFA SECURITIES, LLC

BD
CRD#: 155191
NEW YORK, NY
Past

February 1, 2011 - June 8, 2011

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
NEW YORK, NY
Past

November 1, 2010 - January 11, 2011

VCG SECURITIES, LLC

BD
CRD#: 149083
NEW YORK, NY
Past

November 2, 2009 - August 4, 2010

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
NEW YORK, NY
Past

May 13, 2009 - November 19, 2009

HFP CAPITAL MARKETS LLC

BD
CRD#: 44351
NEW YORK, NY
Past

October 10, 2008 - March 13, 2009

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705
NEW YORK, NY
Past

June 1, 2006 - October 2, 2008

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

July 30, 1999 - May 31, 2006

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
NEW YORK, NY
Past

July 7, 1995 - April 20, 2000

MILLER TABAK HIRSCH & CO.

BD
CRD#: 10384
NEW YORK, NY
Past

March 26, 1982 - January 10, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

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
RR
Series 63
Date: 8/30/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/31/1999
General Securities Principal Examination

Current Firm

BW
BRADLEY WOODS & CO. LTD.
BRADLEY WOODS & CO. LTD. | BRADLEY, WOODS & CO.

CRD#: 13660 / SEC#: , 8-28862

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
845 Third Ave, Suite 1703, New York, NY 10022
Mailing Address
845 Third Ave, Suite 1703, New York, NY 10022
Phone number
(212) 826-9191
Established
Delaware since 11/01/2004
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RIPP, DANIEL SCEO, CFO1398164
SHEA, PATRICK OFARRELLCHIEF COMPLIANCE OFFICER838154
YEE, DEREK BRIANCOO6911274

Disclosures

Regulatory Event1

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.

Company Information

BRADLEY WOODS & CO. LTD.

CRD#: 13660

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