Theodore E. Kagan
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.
Theodore Evan Kagan, who also goes by Ted Kagan, was a registered financial advisor .
Theodore is a previously registered financial advisor and started their career in finance in 1979. Theodore had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 12, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2007 - December 10, 2014
WHITEHALL-PARKER SECURITIES, INC.
July 31, 2002 - March 3, 2004
RYAN BECK & CO.
April 29, 2002 - March 3, 2004
RYAN BECK & CO.
June 2, 1997 - May 20, 2002
GRUNTAL & CO., L.L.C.
November 7, 1995 - June 3, 1997
RODMAN & RENSHAW INC.
June 14, 1993 - August 26, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - June 14, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 9, 1987 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 14, 1986 - February 26, 1987
THOMSON MCKINNON SECURITIES INC.
April 2, 1985 - January 6, 1986
B.O.C.L. SECURITIES CORP.
March 4, 1983 - March 4, 1985
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
May 29, 1979 - January 26, 1983
CALIFORNIA MUNICIPAL INVESTORS, 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 12
Date: 5/21/1983
NYSE Branch Manager ExaminationCurrent Firm
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
