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Kenneth Wayne Finke

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Frisco, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-10-23
  • TX RA
    APPROVED
    Since 2009-10-23

Branch Locations

One Bryant Park Investment Solutions Group, New York, NY 10036 • United States

1 Cowboys Way Investment Solutions Group, Frisco, TX 75034 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 10/2009 Present
Previous Registrations
  • 2009-01-05 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Dallas, TX
    Dallas, TX
    Boston, MA
    Chesterfield, MO
    Boston, MA
  • 2005-04-04 → 2008-12-31
    Bofa Advisors, Llc
    Dallas, TX
    Mckinney, TX
    Boston, MA
  • 2003-04-15 → 2005-04-04
    Columbia Management Advisors, Inc.
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-20
S63 Uniform Securities Agent State Law Examination 1998-03-13
  • S65 Uniform Investment Adviser Law Examination
    1999-08-20
  • S63 Uniform Securities Agent State Law Examination
    1998-03-13

View on SEC IAPD

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