Kenneth Wayne Liddy

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2018-02-27
PA	RA	APPROVED	2017-10-24

NJ RA
APPROVED

Since 2018-02-27
PA RA
APPROVED

Since 2017-10-24

Branch Locations

Princeton, NJ • United States

2700 Kelly Road Suite 120, Warrington, PA 18976 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Yardley	PA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Yardley	PA	11/2016	10/2017
Oppenheimer & Co. Inc.	Warrington	PA	10/2017	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Yardley, PA
11/2016 → 10/2017

Wells Fargo Clearing Services, Llc

Yardley, PA
10/2017 → Present

Oppenheimer & Co. Inc.

Warrington, PA

Previous Registrations

2008-03-12 → 2017-10-20

Wells Fargo Clearing Services, Llc

Yardley, PA

Yardley, PA

Princeton Junction, NJ

Princeton, NJ

Yardley, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-08-21
S63	Uniform Securities Agent State Law Examination	1989-03-30

S65 Uniform Investment Adviser Law Examination

1996-08-21
S63 Uniform Securities Agent State Law Examination

1989-03-30