Kenneth C. Foreman
Professional summary
Kenneth Charles Foreman, who also goes by Ken Foreman, is a registered financial professional currently at MUTUAL SECURITIES, INC. located in Chico, California.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1978. Kenneth has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Charles Foreman's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 2, 2016 - Present
MUTUAL SECURITIES, INC.
Office #1: 426 Broadway Suite 206, Chico, CA 95928July 3, 2007 - December 5, 2016
SECURITIES AMERICA, INC.
March 24, 2004 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
November 5, 1999 - May 21, 2004
FIRST SECURITIES USA, INC.
May 15, 1990 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
July 27, 1988 - May 3, 1990
ADAMS SECURITIES, INC.
January 1, 1988 - August 9, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
August 21, 1986 - December 10, 1987
J. W. GANT & ASSOCIATES, INC.
May 13, 1986 - August 18, 1986
WILSON-DAVIS & CO., INC.
March 26, 1985 - July 25, 1986
TIDD, LACKEY AND CO., INC.
December 12, 1983 - March 25, 1985
PAULSON INVESTMENT COMPANY LLC
June 30, 1983 - November 23, 1983
A. G. EDWARDS & SONS, INC.
September 25, 1978 - July 1, 1983
HAMMERBECK AND COMPANY, 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
(12/2/2016)
(3/30/2020)
(1/4/2017)
(12/2/2016)
(8/11/2021)
(6/20/2019)
(11/17/2021)
(11/14/2024)
Exams
FINRA
Current Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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