Kenneth Charles Finkel

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2008-02-29
CO	RA	APPROVED	2008-02-01

TX RA
APPROVED_RES

Since 2008-02-29
CO RA
APPROVED

Since 2008-02-01

Branch Locations

Boulder, CO • 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

Organization	City	State	From	To
Lpl Financial, Llc	Boulder	CO	02/2008	Present

02/2008 → Present

Lpl Financial, Llc

Boulder, CO

Previous Registrations

2001-02-26 → 2008-02-07

Citigroup Global Markets Inc.

Boulder, CO

Boulder, CO

Other Businesses

1. 9/13/2011: NO BUSINESS NAME - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - TIME SPENT 10% - FIXED INSURANCE. 2. 10/31/2012: VISTA ADVISORY GROUP - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 3. 7/16/2013: VISTA CONSULTING - NOT INVESTMENT RELATED - OTHER-LIFE COACH - TIME SPENT 5% - PERSONAL COACHING PRACTICE. NO FORMAL TITLE. ACCREDITED BY THE ICF; INTERNATIONAL COACHING FEDERATION. HOURLY FEE STRUCTURE. CLIENTS BY REFERRAL, NO MARKETING OR ADVERTISING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-02-02
S63	Uniform Securities Agent State Law Examination	1983-01-21

S65 Uniform Investment Adviser Law Examination

2001-02-02
S63 Uniform Securities Agent State Law Examination

1983-01-21

View on SEC IAPD