Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Dunn is a registered investment advisor with RBC Capital Markets, LLC. Kenneth has been working in the financial services industry since 1983. Kenneth is licensed to provide investment advice in Arkansas, California, Colorado, Delaware, Florida, Georgia, Indiana, Maine, Massachusetts, Michigan, Mississippi, New Jersey, New York, North Carolina, Ohio, Oklahoma, Tennessee, Texas, and Washington. Kenneth has passed the Series 3, 7, 9, 10, 63 and 65 exams. Kenneth has experience working with high net worth individuals, charitable organizations, corporations or other businesses, individuals other than high net worth, pension and profit-sharing plans, and state or municipal government entities.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
09/07/2007 - Present
RBC Capital Markets, LLC (TYLER TX)
TX
03/22/2002 - 09/19/2007
UBS FINANCIAL SERVICES INC. (TYLER TX)
NY
03/02/1990 - 04/17/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
05/14/1988 - 03/08/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
04/24/1985 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
12/21/1983 - 05/03/1985
UNDERWOOD, NEUHAUS & CO., INCORPORATED
IA
Issued 03/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/06/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1990
Series 3 - National Commodity Futures Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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