Individual Firm
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KENNETH ALEXANDER K. BARNES
CRD#: 4253343
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B
EQUITABLE ADVISORS, LLCCRD#: 6627 1003 BISHOP STREET
PAUAHI TOWER, SUITE 1450
HONOLULU, HI 96813
PAUAHI TOWER, SUITE 1450
HONOLULU, HI 96813
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8/6/1993
Criminal
Final Disposition
State Registrations
B
Arizona 11/9/2021
B
Missouri 10/9/2019
B
California 5/27/2015
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Missouri 8/30/2022
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California 3/30/2017
B
Oregon 5/1/2018
B
Colorado 6/16/2016
B
Pennsylvania 5/26/2015
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Colorado 3/19/2018
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Pennsylvania 3/31/2017
B
Florida 1/12/2024
B
Rhode Island 1/29/2025
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Florida 1/12/2024
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Rhode Island 1/29/2025
B
Hawaii 7/5/2011
B
Texas 11/13/2018
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Hawaii 2/8/2017
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Texas 9/24/2020
B
Illinois 10/24/2024
B
Virginia 7/3/2019
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Illinois 10/24/2024
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Virginia 7/10/2019
B
Kentucky 9/6/2017
B
Washington 12/2/2016
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Kentucky 9/11/2017
SRO Registrations
B
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Registered with this firm since 2/8/2017
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Registered with this firm since 7/5/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/22/2003 - 05/09/2011 | HONOLULU, HI | |
B | 10/08/2001 - 04/29/2003 | MALVERN, PA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.