Roderick E. Hennek
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.
Roderick Eugene Hennek, who also goes by Rod Hennek, was a registered financial professional .
Roderick is a previously registered financial professional and started their career in finance in 1981. Roderick had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2018 - February 5, 2024
KINGSWOOD CAPITAL PARTNERS, LLC
January 26, 2018 - March 22, 2024
ATLANTA CONSULTING GROUP ADVISORS, LLC
January 8, 2018 - June 15, 2018
SGMA CAPITAL MARKETS LIMITED
February 13, 2013 - December 31, 2017
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - December 31, 2017
RAYMOND JAMES & ASSOCIATES, INC.
January 1, 2001 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
April 26, 1985 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
December 24, 1981 - May 24, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 1/26/1982
Interest Rate Options ExaminationSeries 8
Date: 9/3/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KINGSWOOD CAPITAL PARTNERS, LLC
CRD#: 288898 / SEC#: , 8-69967
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KINGSWOOD US, LLC | MEMBER | |
| ALSORAIMI, MOHAMED | CCO | 5319490 |
| GOLDEN, JAIME GALIONE | PRESIDENT - BUSINESS DEVELOPMENT AND ACQUISITIONS | 2946822 |
| NESSIM, MICHAEL HASKEL | CEO | 2573543 |
| PITKOFF, DAVID JONATHAN | CFO | 2822280 |
| RAYEVSKIY, VALERIY P | COO | 5788810 |
| ROMERO, MONIQUE VICTORIA | FINOP | 6712654 |
| WILDER, JEREMY MATHEW | CHIEF LEGAL OFFICER | 7080690 |
Red Flags
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