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Kenneth Marc Hutkin

LPl Financial LLC

New York, NY

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-09-19
NJ RA APPROVED 2024-09-18
TX RA APPROVED_RES 2024-09-18
  • NY RA
    APPROVED
    Since 2024-09-19
  • NJ RA
    APPROVED
    Since 2024-09-18
  • TX RA
    APPROVED_RES
    Since 2024-09-18

Branch Locations

142 W 57Th St Fl 9 Offices 911, 912, 916, 917, New York, NY 10019 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney New York NY 09/2010 09/2018
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2018
Wedbush Securities New York NY 10/2018 09/2024
Lpl Financial Llc New York NY 09/2024 Present
  • 09/2010 → 09/2018
    Morgan Stanley Smith Barney
    New York, NY
  • 01/2015 → 09/2018
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 10/2018 → 09/2024
    Wedbush Securities
    New York, NY
  • 09/2024 → Present
    Lpl Financial Llc
    New York, NY
Previous Registrations
  • 2018-11-05 → 2024-10-07
    Wedbush Securities Inc.
    New York, NY
    Los Angeles, CA
    New York, NY
    New York, NY
    New York, NY
    Sacramento, CA
  • 2010-09-13 → 2018-10-24
    Morgan Stanley
    New York, NY
  • 2009-02-04 → 2010-09-15
    First Allied Securities, Inc.
    Red Bank, NJ
    New York, NY
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-19
S63 Uniform Securities Agent State Law Examination 1997-10-17
  • S66 Uniform Combined State Law Examination
    2002-08-19
  • S63 Uniform Securities Agent State Law Examination
    1997-10-17
Other Names
  • Ken Marc Hutkin

View on SEC IAPD

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