Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Coates is a financial advisor who has been working in the financial services industry since 1982. Kenneth is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2008. Kenneth has prior experience with UBS Financial Services Inc., Salomon Smith Barney Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc. Kenneth is licensed to provide financial advice in several states. Kenneth has a broad range of experience and knowledge to help clients with their financial goals.
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
IN
03/28/2008 - Present
Wells Fargo Clearing Services, LLC (INDIANAPOLIS IN)
IN
02/16/2001 - 03/26/2008
UBS FINANCIAL SERVICES INC. (INDIANAPOLIS IN)
NY
07/31/1993 - 03/06/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/24/1982 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 01/31/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/08/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/1983
Series 5 - Interest Rate Options Examination
BC
Issued 05/15/1982
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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