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Detailed Report
KENNETH LADD
KEN LADD, KENNY LADD, Kenneth Dwight Ladd
CRD#: 5602063
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2821 PINEVILLE MATTHEWS RD
CHARLOTTE, NC 28270
Registration History
20082010201220142016201820202022202420262 FIRMS2014 - 2022 (8 years)2 FIRMS2022 - 2024 (2 years)2 FIRMS2024 - Present (<1 year)BFIFTH THIRD SECURITIES, INC. (CRD# 628)2008 - 2012 (3 years)IAFIFTH THIRD SECURITIES, INC. (CRD# 628)2010 - 2012 (1 year)
License(s)

State Registrations

B
North Carolina 6/3/2024
B
South Carolina 6/3/2024
IA
North Carolina 6/3/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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
WELLS FARGO ADVISORS (CRD#:19616)
2821 PINEVILLE MATTHEWS RD, CHARLOTTE, NC 28270
Registered with this firm since 6/3/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2821 PINEVILLE MATTHEWS RD, CHARLOTTE, NC 28270
Registered with this firm since 6/3/2024
Previous Registration(s)
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IA
 06/24/2022 - 06/24/2024 LPL FINANCIAL LLC (CRD#:6413) BEACHWOOD, OH
B
 06/24/2022 - 06/24/2024 LPL FINANCIAL LLC (CRD#:6413) BEACHWOOD, OH
IA
 02/11/2014 - 06/20/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
B
 02/07/2014 - 06/20/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
IA
 10/08/2010 - 09/13/2012 FIFTH THIRD SECURITIES, INC. (CRD#:628) CHARLOTTE, NC
B
 10/28/2008 - 09/13/2012 FIFTH THIRD SECURITIES, INC. (CRD#:628) CHARLOTTE, NC
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.