Kevin G. Kennedy
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.
Kevin Gerald Kennedy was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1982. Kevin had worked at 7 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2011 - January 4, 2022
LAKESHORE SECURITIES, L.P.
September 23, 2010 - April 19, 2011
MNR EXECUTIONS, LLC
March 3, 2010 - September 14, 2010
MF GLOBAL INC.
June 3, 2008 - March 4, 2010
TRADINGBLOCK
March 4, 2008 - March 17, 2008
CTC XS, LLC
November 24, 1995 - September 3, 1997
ABN AMRO CLEARING USA LLC
April 23, 1982 - February 21, 1991
GOLDMAN SACHS & CO. LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
LAKESHORE SECURITIES, L.P.
CRD#: 34381 / SEC#: , 8-28820
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROSS VOL LLC | GENERAL PARTNER | |
| FLP TRADING LLC | GENERAL PARTNER | |
| GARZA, ALEXANDER BENJAMIN | LIMITED PARTNER | 4945272 |
| GREY WOLF CAPITAL LLC | GENERAL PARTNER | |
| GANNON, MARK EDWARD | FINOP AND CCO |
Disclosures
| Regulatory Event | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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