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KENNETH CHARLES NOVAK
CRD#: 4011863
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2023 (22 years)2 FIRMS2023 - Present (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1999 - 2000 (<1 year)
Disclosure(s)
View By:
2/10/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/8/2025

B
Missouri 1/7/2025

B
California 7/10/2023

B
Ohio 7/10/2023

B
Colorado 1/8/2025

B
Pennsylvania 1/7/2025

B
Florida 7/10/2023

B
Tennessee 7/10/2023

B
Illinois 7/10/2023

B
Texas 7/10/2023

IA
Illinois 7/12/2023

IA
Texas 7/10/2023

B
Indiana 1/7/2025

B
Utah 1/8/2025

B
Michigan 1/7/2025

B
Wisconsin 7/10/2023

B
Minnesota 1/8/2025

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 7/10/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 7/10/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/03/2000 - 07/10/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) Chicago, IL
B
09/01/2000 - 07/10/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) Chicago, IL
B
10/20/1999 - 08/24/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.