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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Ronald Tapia is a financial professional with over 28 years of experience in the industry. Kenneth is currently registered with Northern Trust Securities, Inc. and has a broad range of experience working for firms like Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P. and First Options of Chicago, Inc. Kenneth is a licensed professional in 51 states. Kenneth holds several FINRA licenses including Series 4, 7, 24, 52TO, 53, 55, 57TO, and SIE, as well as a Series 63. Kenneth is a valued advisor at Northern Trust Securities, Inc., focusing on a variety of client needs.
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.
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.
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2
IL
08/18/2017 - Present
Northern Trust Securities, Inc. (CHICAGO IL)
IL
11/04/2015 - 06/13/2017
GOLDMAN SACHS & CO. LLC (CHICAGO IL)
IL
12/11/2000 - 03/10/2017
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (CHICAGO IL)
IL
07/06/2000 - 06/25/2004
FIRST OPTIONS OF CHICAGO, INC. (CHICAGO IL)
IL
06/23/1994 - 09/24/1998
FIRST OPTIONS OF CHICAGO, INC. (CHICAGO IL)
NJ
11/12/1993 - 05/10/1994
INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)
BC
Issued 11/18/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/07/2024
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/31/2022
Series 24 - General Securities Principal Examination
BC
Issued 12/19/2000
Series 4 - Registered Options Principal Examination
BC
Issued 04/12/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/11/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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