Kenneth M Offenberg

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2018-11-19
NC	RA	APPROVED	2017-09-22

IL RA
APPROVED

Since 2018-11-19
NC RA
APPROVED

Since 2017-09-22

Branch Locations

6805 Carnegie Blvd, Suite 350, Charlotte, NC 28211 • 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 Clearing Services, Llc	Charlotte	NC	01/2015	09/2017
Raymond James & Associates, Inc	Charlotte	NC	09/2017	Present

01/2015 → 09/2017

Wells Fargo Clearing Services, Llc

Charlotte, NC
09/2017 → Present

Raymond James & Associates, Inc

Charlotte, NC

Previous Registrations

2005-06-24 → 2017-09-25

Wells Fargo Clearing Services, Llc

Deerfield, IL

Deerfield, IL

Charlotte, NC

Charlotte, NC
2000-12-26 → 2005-07-19

A. G. Edwards & Sons, Inc.

Skokie, IL

Other Businesses

TRUSTEE OF FAMILY TRUST; INV-RELATED; CHARLOTTE, NC ; CO-TRUSTEE; START: 1/1/05; 0 HR/MO; 0 DURING TRADING. TRUSTEE FOR FATHER; INV. RELATED; CHARLOTTE, NC; START DATE 10/26/2016; 1 HR PER MONTH; 0 HRS DURING TRADING. TRUSTEE FOR FATHER'S PENSION PLAN; WILMETTE, IL START DATE 3/2017; 0 HRS PER MONTH; 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-12-21
S63	Uniform Securities Agent State Law Examination	1992-02-12

S66 Uniform Combined State Law Examination

2000-12-21
S63 Uniform Securities Agent State Law Examination

1992-02-12

View on SEC IAPD