Kenneth P. Cavanaugh
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 Patrick Cavanaugh, who also goes by Kenneth P Cavanaugh, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1979. Kenneth had worked at 12 firms and has passed the Series 63, Series 6, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2002 - June 5, 2003
WORLD GROUP SECURITIES, INC.
December 8, 1993 - July 5, 1995
NATCITY INSURANCE SERVICES, INC.
November 11, 1993 - December 21, 1993
VISUN SECURITIES CORPORATION
September 22, 1992 - November 16, 1993
HAMILTON INVESTMENTS, INC.
July 23, 1992 - October 13, 1992
OSAIC FS, INC.
July 30, 1991 - November 25, 1991
AEGON USA SECURITIES INC.
March 21, 1990 - January 22, 1991
INVEST FINANCIAL CORPORATION
April 28, 1988 - November 9, 1989
KIDDER, PEABODY & CO. INCORPORATED
March 12, 1984 - April 16, 1988
MORGAN STANLEY DW INC.
November 12, 1980 - April 2, 1984
THE MILWAUKEE COMPANY
February 26, 1980 - October 7, 1983
ALL AMERICAN MANAGEMENT CORPORATION
November 28, 1979 - March 29, 1980
FPC SECURITIES CORPORATION
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 1
Date: 11/19/1979
Registered Representative ExaminationCurrent Firm
WORLD GROUP SECURITIES, INC.
CRD#: 114473 / SEC#: , 8-53428
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGON ASSET MANAGEMENT SERVICES, INC. | SHAREHOLDER | |
| BOUDOURIS, JAMES PETER | MUNICIPAL SECURITIES PRINCIPAL | 2050302 |
| CARPENTER, TODD ANDREW | CHIEF SUPERVISORY OFFICER | 3125437 |
| DAVIES, SUSAN E. | DIRECTOR | 4718249 |
| DODSON, PATTY JEAN | ASSISTANT VICE PRESIDENT | 1925182 |
| JOSEPH, JOHN WARREN | CHIEF MARKETING OFFICER | 4494872 |
| LINDER, JACK DARRELL | DIRECTOR | 1015860 |
| MILLER, SETH DAVID | PRESIDENT | 5628646 |
| MINECK, PAUL D. | DIRECTOR | 4528075 |
| MOATE, NANCY ANN | VICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER | 2422381 |
| MURSHEDI, AEYSHA K | VICE PRESIDENT & CHIEF OPERATIONS OFFICER | 2530869 |
| TRIVERS, DAN SHANE | VICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | 1948553 |
| VERMILLION, DERRICK WADE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER | 3213279 |
Disclosures
| Regulatory Event | 10 |
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.
