Individual Firm
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Kenneth Gregory Klages
KENNETH KLAGES, Ken Klages
CRD#: 4888941
IA
B
ALLSTATE FINANCIAL ADVISORS, LLCCRD#: 109524 8229 Clayton Rd Ste 200
St Louis, MO 63117-1155
St Louis, MO 63117-1155
ALLSTATE FINANCIAL SERVICES, LLCCRD#: 18272 8229 CLAYTON RD STE 200B
ST LOUIS, MO 63117-1155
ST LOUIS, MO 63117-1155
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2/1/2016
Customer Dispute
Denied
12/18/2009
Customer Dispute
Settled
State Registrations
B
Illinois 6/26/2019
B
Missouri 4/30/2019
B
Kansas 10/24/2023
IA
Missouri 4/30/2019
B
Michigan 10/23/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/30/2019
B
Registered with this firm since 4/30/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/26/2009 - 04/15/2019 | ST. LOUIS, MO | |
B | 05/26/2009 - 04/15/2019 | ST. LOUIS, MO | |
IA | 05/02/2008 - 05/27/2009 | ST LOUIS, MO | |
IA | 05/02/2008 - 05/27/2009 | ST. LOUIS, MO | |
B | 05/02/2008 - 05/27/2009 | ST. LOUIS, MO | |
B | 09/12/2007 - 05/05/2008 | ST. LOUIS, MO | |
IA | 02/22/2005 - 11/14/2006 | ST. LOUIS, MO | |
B | 02/03/2005 - 11/14/2006 | ST. LOUIS, MO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.