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Kenneth David Smalley

Stonex Financial Inc.

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About Kenneth David Smalley

Kenneth David Smalley is a financial advisor with Stonex Financial Inc. based in New York, NY. Kenneth has over 20 years of experience in the financial services industry. Kenneth holds the Series 7, 24, 63, 86 and 87 licenses. Kenneth is registered to offer securities in 50 states. Kenneth was previously employed at BTIG, LLC, SEAPORT GLOBAL SECURITIES LLC, ALLIANCE FUND DISTRIBUTORS, INC., PAINEWEBBER INCORPORATED, BNY CAPITAL MARKETS INC., NATWEST SECURITIES CORPORATION and NOMURA SECURITIES INTERNATIONAL, INC.

Firm Information

Kenneth Smalley is currently registered with Stonex Financial Inc.. Stonex Financial Inc. is a Corporation that was formed on May 29, 1998 and is registered in 53 states and the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

374

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 Smalley’s Registration & Firm History

NY

06/08/2021 - Present

Stonex Financial Inc. (NEW YORK NY)

NY

03/13/2018 - 02/22/2021

BTIG, LLC (New York NY)

NY

09/06/2007 - 03/01/2018

SEAPORT GLOBAL SECURITIES LLC (NEW YORK NY)

TN

10/09/2000 - 06/26/2001

ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)

NJ

08/21/1996 - 12/09/1998

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

05/08/1996 - 08/20/1996

BNY CAPITAL MARKETS INC. (NEW YORK NY)

NY

04/09/1994 - 11/20/1995

NATWEST SECURITIES CORPORATION (NEW YORK NY)

NY

06/17/1993 - 02/25/1994

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/03/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/23/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/2008

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/10/2007

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 09/05/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kenneth David Smalley.
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