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Detailed Report
KENNETH ERLING HANSEN
CRD#: 1392711
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 400 SPECTRUM CENTER DRIVE
IRVINE, CA 92618
Registration History
1985199019952000200520102015202020252 FIRMS2006 - 2008 (1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1989 - 2006 (16 years)BYOUNG, SMITH & PEACOCK, INC. (CRD# 913)1985 - 1989 (3 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2006 (8 years)
License(s)

State Registrations

B
Arizona 10/9/2009
B
Minnesota 10/9/2009
B
California 9/30/2009
B
Missouri 4/22/2015
IA
California 10/1/2009
B
Montana 10/9/2009
B
Colorado 10/9/2009
B
Nevada 1/14/2019
B
District of Columbia 3/8/2024
B
New Mexico 4/21/2023
B
Florida 10/9/2009
B
New York 10/9/2009
B
Georgia 5/13/2024
B
North Carolina 10/9/2009
B
Hawaii 2/17/2022
B
Oklahoma 11/1/2021
B
Idaho 10/22/2018
B
Oregon 10/9/2009
B
Illinois 9/17/2012
B
Texas 6/23/2017
B
Iowa 6/28/2011
IA
Texas 1/13/2020
B
Kentucky 10/26/2021
B
Virginia 10/9/2009
B
Maryland 10/9/2009
B
Washington 10/9/2009
B
Michigan 1/13/2014
B
Wisconsin 9/30/2009

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
400 SPECTRUM CENTER DRIVE, IRVINE, CA 92618
Registered with this firm since 10/1/2009
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
400 SPECTRUM CENTER DRIVE, IRVINE, CA 92618
Registered with this firm since 9/30/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/2008 - 10/02/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAGUNA BEACH, CA
B
 01/01/2008 - 10/02/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAGUNA BEACH, CA
B
 07/27/2006 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LAGUNA BEACH, CA
IA
 07/27/2006 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LAGUNA BEACH, CA
IA
 07/08/1997 - 03/14/2006 A. G. EDWARDS & SONS, INC. (CRD#:4) LAGUNA BEACH, CA
B
 04/10/1989 - 03/14/2006 A. G. EDWARDS & SONS, INC. (CRD#:4) LAGUNA BEACH, CA
B
 10/11/1985 - 05/13/1989 YOUNG, SMITH & PEACOCK, INC. (CRD#:913)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.