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JK

John Joseph Kenny

CRD# 1001752·Registered 1981 - 2003
Barred: John Joseph Kenny was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

John Joseph Kenny, who also goes by Jack Kenny, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1981 - 2003. John had worked at 7 firms and has passed the Series 63, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jack Kenny

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

45 years in the financial services industry

Current & Past Employments

KENNY SECURITIES CORP.·CRD# 37552
BD
St. Louis, MO
June 20, 1995 - July 10, 2003
PAULI & COMPANY, INC·CRD# 24851
BD
St. Louis, MO
August 3, 1992 - April 18, 1995
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
September 26, 1990 - August 7, 1992
FIRST AFFILIATED SECURITIES·CRD# 23737
BD
La Jolla, CA
May 31, 1989 - September 12, 1990
FIRST AFFILIATED SECURITIES, INC.·CRD# 6871
BD
May 25, 1989 - May 31, 1989
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
November 29, 1983 - April 3, 1989
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
July 23, 1981 - December 27, 1983

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Current Firm

KS
KENNY SECURITIES CORP.

KENNY SECURITIES CORP.

CRD#: 37552 / SEC#: 8-47809
BD
Terminated by SEC on 02/20/2012

Contact Information

Established

Delaware since 09/13/1994

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
KENNY CAPITAL MANAGEMENTOWNER—
KOHNE, RICHARD ALBERTPRESIDENT,CCO1068180

Disclosures

Regulatory Event

2

Arbitration

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1981About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Oct 1987About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jul 1981About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Jun 1996About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Nov 1995About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Oct 1994About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JK
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