Jeffrey D. Kanter
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.
Jeffrey Dean Kanter was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 7 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
February 15, 2013 - August 26, 2013
HALEN CAPITAL
July 1, 2003 - May 18, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - May 18, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 27, 1991 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 6, 1989 - June 28, 1991
UBS FINANCIAL SERVICES INC.
February 1, 1988 - June 19, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
August 8, 1986 - February 5, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
December 20, 1983 - August 18, 1986
E. F. HUTTON & COMPANY INC
February 25, 1982 - February 4, 1984
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 12/22/1994
Foreign Currency Options ExaminationSeries 5
Date: 12/20/1994
Interest Rate Options ExaminationSeries 8
Date: 6/24/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HALEN CAPITAL
CRD#: 135966 / SEC#: 801-68773, 8-66959
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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