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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

KENNETH KESTENBAUM

Advisor at J.P. MORGAN SECURITIES LLC

NEW YORK, NY

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Search this name across graphsid dfx:ria:3434a256-65cf-73a4-6d05-5207230ab7d4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 6, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 11, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 11, 1994
First registration: Apr 6, 2006
Dual registered: yes, broker-dealer
Other names: KENNETH Kestenbaum|KENNETH Kestenbaum
IAPD individual key: 2337526

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 3, 2022	n/a	yes	NEW YORK, NY\|NEW YORK, NY	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 9, 2014	Nov 16, 2020	no	NEW YORK, NY\|NEW YORK, NY\|New York, NY	Previous registration
J.P. MORGAN CLEARING CORP.	Former SEC adviser	Jul 1, 2010	Nov 18, 2013	no	NEW YORK, NY\|NEW YORK, NY\|BROOKLYN, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 4, 2008	Jun 3, 2010	no	WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|WEEHAWKEN, NJ	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Apr 24, 2007	Jul 31, 2008	no	NEW YORK, NY\|ST. LOUIS, MO	Previous registration
RYAN BECK & CO.	n/a	Apr 6, 2006	Aug 27, 2007	no	NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN CLEARING CORP.	J.P. MORGAN SECURITIES LLC	Nov 18, 2013	Jan 9, 2014	52	Channel change	Other
UBS FINANCIAL SERVICES INC.	J.P. MORGAN CLEARING CORP.	Jun 3, 2010	Jul 1, 2010	28	Firm change	Other
STIFEL, NICOLAUS & COMPANY, INCORPORATED	UBS FINANCIAL SERVICES INC.	Jul 31, 2008	Aug 4, 2008	4	Firm change	Ibd to wirehouse
RYAN BECK & CO.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Aug 27, 2007	Apr 24, 2007	-125	Bulk transfer	Other

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 9, 2014 to Nov 16, 2020factForm ADV
→ J.P. MORGAN CLEARING CORP.Registered adviserregistration: previous registration
Jul 1, 2010 to Nov 18, 2013factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 4, 2008 to Jun 3, 2010factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Apr 24, 2007 to Jul 31, 2008factForm ADV
→ RYAN BECK & CO.Registered adviserregistration: previous registration
Apr 6, 2006 to Aug 27, 2007factForm ADV

Dated events

No dated event names this entity yet.