Kenneth Kauth, financial advisor Saint Paul MN
83 score

Kenneth Kauth

CRD Number: 1250530
Current Firm: Harbour Investments, Inc.

Kenneth Kauth (CRD# 1250530) is an Investment Advisor Representative working at Harbour Investments, Inc. in Saint Paul, MN and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Lakes And Plains Advisors St Paul, MN Jan 2016 - Current < 1
Harbour Investments, Inc. Madison, WI Oct 2013 - Current 3
Lakes And Plains Advisors St. Paul, MN Oct 2013 - Current 3
Purshe Kaplan Sterling Albany, NY Sep 2010 - Oct 2013 3
Vector Wealth Mgmt Minneapolis, MN Sep 2010 - Oct 2013 3
Wachovia Securities, LLC Minneapolis, MN May 2005 - Sep 2010 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1984
S65 NASAA Investment Advisors Law Examination Nov 1992
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Kenneth C. Kauth
Phone Number: 608-662-6100
Registered State(s):
  • MN
  • WI
By the Numbers
  • Total Assets Under Management
    552
    MILLIONS
  • Total Number of Accounts
    2,508
    ACCOUNTS
  • Average Account Value
    $220,245
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

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

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BADGES
83

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