Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth C. Sprague is a registered representative at Merrill Lynch, Pierce, Fenner & Smith Inc. Kenneth Sprague has over 17 years of experience in the financial industry. Kenneth Sprague has been registered with the Securities and Exchange Commission since 2005. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc. Kenneth Sprague was employed by CITIGROUP GLOBAL MARKETS INC. and CITICORP INVESTMENT SERVICES. Kenneth Sprague is licensed in Texas.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
09/06/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
TX
05/29/2007 - 04/24/2013
CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)
TX
09/13/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (DALLAS TX)
NY
05/30/2005 - 12/16/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 06/14/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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