Kenneth W. Germain
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth Warren Germain was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1981. Kenneth had worked at 4 firms and has passed the Series 63, Series 7, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 1989 - July 3, 1989
JW GENESIS CLEARING CORP.
April 11, 1987 - June 13, 1988
COPELAND SECURITIES INCORPORATED
February 3, 1984 - May 1, 1987
TWENTY-FIRST SECURITIES CORPORATION
December 28, 1981 - November 25, 1983
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationCurrent Firm
JW GENESIS CLEARING CORP.
CRD#: 6631 / SEC#: , 8-17907
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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