John Kenneth Durden Jr
Professional Summary
John Kenneth Durden Jr, who also goes by John Kenneth Durden Jr, is a registered financial advisor currently at OAK TREE SECURITIES, INC. located in Livermore, California and ALAMO CAPITAL located in Walnut Creek, California. John is registered as a RR (Registered Representative) and started their career in finance in 1978. John has worked at 37 firms and has passed the Series 63, Series 99TO, SIE, Series 27, Series 40 and F04 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Kenneth Durden Jr
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
48 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
Contact Information
Main Address
1330 Broadway Street, Longview, WA 98632Mailing Address
P.o. Box 888, Longview, WA 98632-7552Phone Number
(360) 423-5110Established
Washington since 12/16/1991Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
14SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
FINRA licenses (43 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
824AUM (Assets Under Management)
$231,851,196Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
State Registrations and Notice Filings
(1/4/2008)
(9/28/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 40 — Registered Principal Examination
Passed Nov 1978F04 — Financial Principal Examination
Passed Nov 1978SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Kenneth Durden Jr's CRS (Customer Relationship Summary).
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