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Kenneth Allen Wasik

Capstone Partners

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About Kenneth Allen Wasik

Kenneth Allen Wasik is a financial professional with over 25 years of experience in the financial services industry. Kenneth is currently registered with Capstone Partners. Previously, Kenneth has held positions at Stephens, Jefferies & Company, Inc., Houlihan Lokey Howard & Zukin Capital, Inc., UBS Warburg LLC, PaineWebber Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kenneth holds the Series 7, Series 63, SIE, and Series 79TO licenses.

Firm Information

Kenneth Wasik is currently registered with Capstone Partners. Capstone Partners is a Limited Liability Company formed on April 8, 2004. The firm is registered with the SEC and in 15 states including Arizona, California, Colorado, Florida, Idaho, Illinois, Louisiana, Massachusetts, Michigan, New York, Ohio, Oregon, Pennsylvania, Texas, and Virginia.

Not reported

Assets Under Management

Not reported

Total Clients

89

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Kenneth Wasik’s Registration & Firm History

NY

08/12/2020 - Present

Capstone Partners (New York NY)

NY

03/03/2009 - 04/30/2020

STEPHENS (NEW YORK NY)

NY

05/23/2007 - 10/02/2008

JEFFERIES & COMPANY, INC. (NEW YORK NY)

NY

06/30/2003 - 05/21/2007

HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. (NEW YORK NY)

NY

11/03/2000 - 03/03/2003

UBS WARBURG LLC (NEW YORK NY)

NJ

03/22/1999 - 11/03/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

03/18/1997 - 06/10/1998

UBS SECURITIES LLC (NEW YORK NY)

NY

06/17/1996 - 03/19/1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

09/07/1994 - 04/19/1996

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 07/06/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/06/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kenneth Allen Wasik.
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