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Detailed Report
KENNETH ENLO CROSSER
KEN CROSSER
CRD#: 4589397
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20022004200620082010201220142016IAGIRARD SECURITIES, INC. (CRD# 18697)2013 - 2013 (<1 year)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2012 - 2013 (1 year)IAROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2010 - 2012 (2 years)IAHONKAMP KRUEGER FINANCIAL SERV... (CRD# 106237)2002 - 2010 (7 years)
Disclosure(s)
View By:
8/19/2015
Regulatory
Final
2/12/2014
Regulatory
Final
Previous Registration(s)
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IA
 07/02/2013 - 10/25/2013 GIRARD SECURITIES, INC. (CRD#:18697) OTTUMWA, IA
IA
 02/17/2012 - 06/17/2013 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) OTTUMWA, IA
IA
 02/04/2010 - 02/17/2012 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) OTTUMWA, IA
IA
 09/18/2002 - 06/02/2010 HONKAMP KRUEGER FINANCIAL SERVICES INC (CRD#:106237) OTTUMWA, IA
For additional information about investment advisers or broker-dealers, please visit
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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.
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.