Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Chapin is a financial advisor with over 40 years of experience in the financial services industry. Kenneth has held various positions at several firms, including Lehman Brothers Inc, Kidder, Peabody & Co. Incorporated, Citigroup Global Markets Inc, and UBS Financial Services Inc. Kenneth is currently a registered representative at Stifel, Nicolaus & Company, Inc. Kenneth specializes in financial planning, portfolio management, and investment advisory services. Kenneth Chapin holds Series 31, 63, 65, and 7 licenses. Kenneth is also a Certified Financial Planner.
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.
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.
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
09/01/2021 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
01/12/2007 - 09/10/2021
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
07/31/1993 - 01/25/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/01/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/28/1982 - 02/20/1988
KIDDER, PEABODY & CO. INCORPORATED
IA
Issued 10/20/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/19/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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