Kenneth Louis Riffle

Current Employers

Employment History

• 03/2015 → 11/2016
  Tradewinds Global Investors, Llc
  Los Angeles, CA
• 09/2018 → 06/2020
  Mid Atlantic Financial Management, Inc.
  Pittsburgh, PA
• 03/2015 → 09/2018
  Nuveen
  Chicago, IL
• 04/2020 → Present
  Fcg Investment Company
  Germantown, TN
• 08/2016 → 09/2018
  Nuveen Asset Management
  Memphis, TN
• 01/2026 → Present
  Emc Services, Llc
  Germantown, TN

Previous Registrations

• 2018-09-17 → 2020-06-01
  Mid Atlantic Financial Management, Inc.
  Germantown, TN
  Pittsburgh, PA
• 2016-08-26 → 2018-09-14
  Nuveen Asset Management, Llc
  Memphis, TN
• 2015-03-31 → 2016-11-30
  Tradewinds Global Investors, Llc
  Memphis, TN
  Los Angeles, CA
• 2014-02-11 → 2015-05-18
  Sector Capital Management, L.L.C.
  Memphis, TN
• 2013-06-18 → 2013-10-16
  Highland Capital Management, Llc
  Memphis, TN
• 2004-03-29 → 2013-10-16
  Sector Capital Management, L.L.C.
  Memphis, TN

Other Businesses

EMC Services, LLC; Is the business investment related: Yes; Location of the business: 9040 Garden Arbor Drive Germantown TENNESSEE 38138 United States; Description of the business: Management Services Company; Position Title: Analyst; Start date with business: 2026-01-01; Hours per month devoted to business during trading hours: 160; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 100; Will an IRS form for income earned be received: Yes;

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-06-30
• S65 Uniform Investment Adviser Law Examination
  1993-12-21

Other Names

• Ken Riffle