Richard A. Kohne
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.
Richard Albert Kohne was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 1 firm and has passed the Series 63, Series 55, Series 7, Series 4, Series 9, Series 10, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2000 - February 21, 2012
KENNY SECURITIES 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 55
Date: 1/19/2001
Limited Representative-Equity Trader ExamSeries 28
Date: 9/14/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
KENNY SECURITIES CORP.
CRD#: 37552 / SEC#: , 8-47809
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KENNY CAPITAL MANAGEMENT | OWNER | |
| KOHNE, RICHARD ALBERT | PRESIDENT,CCO | 1068180 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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.
