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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 Wayne Finke is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since October 23, 2009. Kenneth has been in the securities industry since April 28, 1998. Kenneth holds the following securities licenses: Series 4, 6, 7, 24, 53, 63, and 65. Kenneth has also passed the Securities Industry Essentials (SIE) exam. Kenneth has a history of working in the securities industry at various firms including BANC OF AMERICA INVESTMENT SERVICES, INC., COLUMBIA MANAGEMENT DISTRIBUTORS, INC., H.D. VEST INVESTMENT SERVICES, VISION INVESTMENT SERVICES, INC., and VAN KAMPEN FUNDS INC. Kenneth provides various services including portfolio management for businesses and individuals, pension consulting, and educational seminars. Kenneth works in the Frisco, Texas office of Merrill Lynch, Pierce, Fenner & Smith Inc.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FRISCO TX)
TX
12/15/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DALLAS TX)
TX
04/07/2003 - 12/31/2008
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (DALLAS TX)
TX
05/30/2000 - 04/21/2003
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
IL
12/13/1999 - 05/15/2000
VISION INVESTMENT SERVICES, INC. (ROSEMONT IL)
TX
10/06/1999 - 12/07/1999
VAN KAMPEN FUNDS INC. (HOUSTON TX)
TX
07/13/1999 - 10/29/1999
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
TX
03/23/1998 - 06/24/1999
VAN KAMPEN FUNDS INC. (HOUSTON TX)
IA
Issued 08/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/13/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/10/2001
Series 4 - Registered Options Principal Examination
BC
Issued 07/25/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/04/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/1998
Series 7 - General Securities Representative Examination
BC
Issued 03/20/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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