Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Wayne Smith is a financial advisor at Sanders Morris LLC, located in Dallas, TX. Kenneth has been in the industry since 2005, and has held registrations with several firms, including S&P Investors, Inc. and Pembrook Securities, Inc. Kenneth has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice and wealth management solutions. Kenneth holds the Series 3, 7, 63, and 65 licenses, demonstrating their knowledge and expertise in various areas of financial services.
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.
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
09/19/2019 - Present
Sanders Morris LLC (Dallas TX)
TX
01/13/2004 - 11/09/2005
S&P INVESTORS, INC. (DALLAS TX)
TX
01/31/2000 - 03/18/2002
PEMBROOK SECURITIES, INC. (DALLAS TX)
NY
10/12/1993 - 01/25/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 10/21/2019
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/15/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/2019
Series 7TO - General Securities Representative Examination
BC
Issued 05/10/2019
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2012
Series 3 - National Commodity Futures Examination
BC
Issued 10/11/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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