Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Vincent Pugno is an active investment advisor representative registered with LPL Financial LLC. Kenneth has been in the industry since November 14, 1986, and has held prior roles with several firms, including Morgan Stanley, Arbor Research & Trading, Inc., Stone & Youngberg LLC, and Quick & Reilly, Inc.. Kenneth currently holds Series 3, 7, and 66 licenses. Kenneth is registered in multiple states, including South Carolina, Texas, and Colorado.
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.
Consulting and other non-discretionary advisory services
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
SC
01/21/2025 - Present
LPL Financial LLC (Mount Pleasant SC)
NJ
12/11/2012 - 09/04/2013
MORGAN STANLEY (MORRISTOWN NJ)
NY
04/27/2005 - 05/04/2012
ARBOR RESEARCH & TRADING, INC. (NEW YORK CITY NY)
CA
07/14/2004 - 04/01/2005
STONE & YOUNGBERG LLC (SAN FRANCISCO CA)
NY
12/18/2003 - 07/01/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
03/31/2003 - 10/07/2003
MIZUHO SECURITIES USA INC. (NEW YORK NY)
NY
02/25/1999 - 10/28/2002
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
09/30/1993 - 09/02/1998
NATIONSBANC MONTGOMERY SECURITIES LLC (NEW YORK NY)
NY
08/08/1989 - 04/21/1995
NATIONSBANC-CRT SERVICES, INC. (NEW YORK NY)
MA
08/14/1993 - 09/30/1993
NATIONSBANC SECURITIES, INC. (BOSTON MA)
NA
07/25/1987 - 07/07/1993
CRT GOVERNMENT SECURITIES, LTD.
NA
03/03/1987 - 08/08/1989
CRT SECURITIES
NA
04/08/1985 - 10/21/1986
CITICORP SECURITIES MARKETS, INC.
NA
09/21/1983 - 04/09/1984
MORGAN STANLEY & CO., INCORPORATED
BOTH
Issued 12/27/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1983
Series 7 - General Securities Representative Examination
BC
Issued 11/10/1982
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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