KENNETH ALLAN GEARY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 461 FROM RD STE 101, PARAMUS, NJ, 07652.
KENNETH ALLAN GEARY has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
KENNETH ALLAN GEARY has 2 Disclosure Event(s).
Date: April 29, 1997 Category: Regulatory Initiated By: OHIO DIVISION OF SECURITIES 77 S. HIGHSTREET 22ND *See FAQ #1* Allegations: GEARY WAS NOT OF GOOD BUSINESS REPUTE AS THATTERM IS USED IN OHIO ADMINISTRATIVE CODE RULE 1301:6-3-19(D)(7)AND (9) AND OHIO REVISED CODE SECTION 1707.19(A). Resolution: Order SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: FINAL ORDER TO DENY APPLICATION FOR SECURITIESSALESMAN LICENSE. Broker Comment: 1- OHIO TURNED DOWN REQUEST FOR SECURITIESLICENSE BASED ON INFORMATION ON FILE AT NASD 2- DISCIPLINED BY NYSE FOR FAILURE TO SUPERVISE AN F.A. WHOEXERCISED UNAUTHORIZED ORDERS FOR CERTAIN CLIENTS '84-87. ONLYDISCIPLINARY PROBLEM ON RECORD OVER 17 YEARS MANAGING OFFICES. 3- OVER 36 YEARS SERVICING CLIENTS NOT 1 VERBAL OR WRITTENCOMPLAINT WAS EVER MADE AGAINST ME IN THE HANDLING OF THEIRINVESTMENTS.
Date: May 02, 1989 Category: Regulatory
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