Kenneth RumbaughCRD Number: 1364691
Current Firm: Harbour Investments, Inc.
Kenneth Rumbaugh (CRD# 1364691) is an Investment Advisor Representative working at Harbour Investments, Inc. in Lima, OH and has over 16 years of experience in the finance industry.
National Planning Corporation ("npc Of America" In Fl & Ny)
Royal Alliance Associates, Inc.
Strategic Investment Advisors, LLC
|Harbour Investments, Inc.||Madison, WI||Mar 2003 - Current||14|
|Ken Rumbaugh Inc.||Lima, OH||Mar 2003 - Current||14|
|Professional Business Network Inc.||Lima, OH||Jul 1989 - Current||28|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Regulatory Investigation
Total Assets Under Management552MILLIONS
Total Number of Accounts2,508ACCOUNTS
Average Account Value$220,245
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, MA, MD, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV