Ken Abaca

Advisor Type: Dual Registered
Years of Experience: 1
Address: 
2555 W Chandler Blvd
Chandler, AZ 85224

Years of Experience

Shaded area represents years of experience for all 8,661 AZ advisors.
Experience measure for this advisor is drawn from government filings as of 4/15/13.

As of 4.15.13

Client Types

Client information is for Merrill Lynch Pierce Fenner And Smith Incorporated and are based on the percentage of assets under management.

Client Type Percentage of Assets
Individuals 50
High Net Worth Individuals 75
Corporations or Other Businesses 25
Charitable Organizations 25
Other 25

Client types are by firm, and represent a percentage of assets under management. For additional information on Ken Abaca’s client base, please contact the advisor.

As of 4.15.13

Fees & Compensation

Compensation types are listed for Merrill Lynch Pierce Fenner And Smith Incorporated. Contact the advisor for individual fee structure details.

Fee Only

This firm is compensated by clients, often based on a flat fee or a percentage of client assets.

Subscription Fees

This firm receives compensation from periodicals or newsletters.

Commission

This firm is compensated by commissions from sales of financial products.

Fixed Fees

This firm charges a flat fee for services, which may vary from firm to firm.

Hourly

This firm offers services based on an hourly fee.

Performance-Based Fees

This firm can be compensated based on a share of capital gains on, or capital appreciation of, client assets.

As of 4.15.13

Disclosure Events

This advisor has no disclosure filings listed.

When financial advisors have events in their practice that could influence their ability to advise clients, they’re required to disclose those events to regulators. Such disclosure event filings can include certain criminal and civil matters, regulatory actions against them, customer complaints or instances of arbitration or termination of employment. The existence of such filings may not result in censure or penalty for an advisor and customer complaints against advisors may be frivolous. Also, such filings may not represent all regulatory or legal actions against a firm or advisor. For more detailed information on Ken Abaca’s conduct, please visit Finra’s BrokerCheck, the SEC’s Investment Adviser Public Disclosure database, or your state’s regulatory agencies.

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