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Kenneth Bernard Pan

Dowling & Partners Securities LLC

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About Kenneth Bernard Pan

Kenneth Bernard Pan is a registered representative with Dowling & Partners Securities LLC. Kenneth is also registered with the state of New York and Illinois and has been in the industry since 2002. Previously, Kenneth worked for Hales Securities, LLC, Aon Benfield Securities, Inc., Benfield Advisory Inc., FTN Midwest Securities Corp., and J.P. Morgan Securities Inc.

Firm Information

Kenneth Pan is currently registered with Dowling & Partners Securities LLC. Dowling & Partners Securities LLC is a Limited Liability Company formed on July 1, 1994. The firm is registered in eight states: California, Connecticut, Florida, Illinois, Massachusetts, New Hampshire, New York, and Ohio. It also has an approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

26

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 Pan’s Registration & Firm History

NY

04/25/2024 - Present

Dowling & Partners Securities LLC (New York NY)

NY

06/20/2014 - 04/29/2024

HALES SECURITIES, LLC (NEW YORK NY)

NY

03/05/2009 - 01/31/2014

AON BENFIELD SECURITIES, INC. (NEW YORK NY)

NY

05/10/2005 - 03/10/2009

BENFIELD ADVISORY INC. (NEW YORK NY)

OH

11/10/2003 - 04/04/2005

FTN MIDWEST SECURITIES CORP. (CLEVELAND OH)

NY

05/01/2001 - 09/05/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

01/02/2000 - 05/01/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/14/2003

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 03/16/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/17/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 11/07/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kenneth Bernard Pan.
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