Individual Firm
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KENNETH SAMUEL LUTON
KEN LUTON
CRD#: 871254
IA
B
MORGAN STANLEYCRD#: 149777 Nashville, TN
0
Disclosures
45
Years of Experience
View By:
State Registrations
B
Alabama 6/1/2009
B
Kentucky 6/1/2009
B
Arkansas 7/7/2014
B
Mississippi 9/20/2013
B
California 12/20/2017
B
New York 10/28/2021
B
Florida 6/1/2009
B
South Carolina 5/1/2019
B
Georgia 3/19/2014
B
Tennessee 6/1/2009
B
Kansas 11/21/2023
IA
Tennessee 6/1/2009
SRO Registrations
B
B
B
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
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/08/2004 - 06/01/2009 | NASHVILLE, TN | |
B | 01/02/2002 - 06/01/2009 | NASHVILLE, TN | |
B | 11/20/1990 - 01/02/2002 | ATLANTA, GA | |
B | 04/28/1983 - 11/28/1990 | MEMPHIS, TN | |
B | 08/28/1981 - 05/16/1983 | ||
B | 09/19/1979 - 07/08/1981 |
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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.