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Kenneth C Sprague

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Information

Other Names: Kenneth C Sprague III
Firm:
Type: Dual Registration
Description

Kenneth Sprague is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 31,700 registered representatives nationwide. Kenneth has held an industry securities registration for 7 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 1 year, 4 months Jul 2013 - Present
Citigroup Global Markets Inc. 1 month May 2007 - Jun 2007
Citigroup, Inc 7 years, 7 months Dec 2005 - Jul 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated 3 years, 11 months Jan 2002 - Dec 2005
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 06/14/2005

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Kenneth C Sprague has not answered any questions on Financial Q&A.

Top Guides

Kenneth C Sprague has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
08/14/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions