Kenneth E. Wallen
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 Eugene Wallen, who also goes by Ken Wallen, 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 65, Series 63, SIE, Series 31 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
December 2, 2013 - December 22, 2017
SUNSTREET SECURITIES, LLC
April 1, 2013 - December 3, 2013
POLAR INVESTMENT COUNSEL, INC.
August 18, 2003 - December 3, 2013
POLAR INVESTMENT COUNSEL, INC.
July 22, 2002 - August 19, 2003
FELTL & COMPANY
March 26, 2001 - July 17, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
May 11, 1998 - April 26, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1994 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
June 21, 1994 - September 1, 1994
HAMILTON INVESTMENTS, INC.
July 22, 1986 - June 23, 1994
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 3, 1982 - July 30, 1986
CRAIG-HALLUM, INC.
July 15, 1980 - January 27, 1982
ENGLER-BUDD & COMPANY INC.
November 14, 1979 - January 28, 1983
J. P. HOLDAHL & ASSOC., INC.
October 5, 1979 - December 5, 1979
P. J. KISCH & CO., INC.
September 26, 1978 - February 27, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
SUNSTREET SECURITIES, LLC
CRD#: 143211 / SEC#: , 8-67541
Contact information
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HADDAD, MUNIB SAID | CEO/CCO/CFO/FINOP/ROSFP/MANAGING MEMBER | 2610231 |
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 5,900,000 |
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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