Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ken? Claim Your ProfileKen Scott Chastain is a financial advisor who has been in the industry since March 2, 1992. Ken is currently registered with Wells Fargo Clearing Services, LLC in Arkansas and Texas and has previously worked for several other firms including WELLS FARGO INVESTMENTS, LLC, WELLS FARGO BROKERAGE SERVICES, L.L.C., WM FINANCIAL SERVICES, INC., BANK UNITED SECURITIES CORP., GOVERNMENT SECURITIES CORPORATION, GSC SECURITIES, INC., A. G. EDWARDS & SONS, INC., and LEHMAN BROTHERS INC. Ken holds Series 7, 63 and 65 securities licenses and the SIE exam. Ken specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for both individuals and businesses. Ken Scott Chastain is an active financial advisor who has been serving clients for many years.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AR
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (EDGEMONT AR)
TX
06/27/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (HOUSTON TX)
MN
08/26/2003 - 01/21/2004
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
MN
06/18/2003 - 06/25/2003
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
CA
04/01/2001 - 06/13/2001
WM FINANCIAL SERVICES, INC. (IRVINE CA)
TX
06/29/1995 - 04/01/2001
BANK UNITED SECURITIES CORP. (HOUSTON TX)
NA
08/26/1993 - 09/30/1994
GOVERNMENT SECURITIES CORPORATION
NA
08/26/1993 - 09/30/1994
GSC SECURITIES, INC.
MO
06/25/1991 - 07/26/1993
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
04/18/1991 - 06/18/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/12/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/23/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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