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Kenneth A Southworth

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Canaan, CT

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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_RES 2015-07-23
CT RA APPROVED 2004-06-25
  • TX RA
    APPROVED_RES
    Since 2015-07-23
  • CT RA
    APPROVED
    Since 2004-06-25

Branch Locations

2 Pine St, New Canaan, CT 06840 • 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 New Canaan CT 03/2004 Present
Bank Of America, N.A. New Canaan CT 07/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-24
S63 Uniform Securities Agent State Law Examination 1996-02-23
  • S65 Uniform Investment Adviser Law Examination
    2004-06-24
  • S63 Uniform Securities Agent State Law Examination
    1996-02-23
Other Names
  • Kenneth Alden Southworth
  • Kenneth Alden Southworth

View on SEC IAPD

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CITIGROUP GLOBAL MARKETS INC. · New Canaan, CT
MONECO ADVISORS · New Canaan, CT
LPL FINANCIAL LLC · NEW CANAAN, CT
NPLP MANAGEMENT · NEW CANAAN, CT
J.H. WHITNEY CAPITAL PARTNERS, LLC · NEW CANAAN, CT
CETERA INVESTMENT ADVISERS LLC · New Canaan, CT
ALEXANDER CAPITAL ADVISORS, LLC · NEW CANAAN, CT
GROWE CAPITAL ADVISORS, LLC · NEW CANAAN, CT

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