Kenneth M. Luppo
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 Michael Luppo was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1994. Kenneth had worked at 9 firms and has passed the Series 63, SIE, Series 55 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
June 5, 2014 - December 10, 2014
NATIONAL SECURITIES CORPORATION
September 29, 2011 - June 5, 2014
LEGEND SECURITIES, INC.
September 1, 2010 - October 12, 2011
GFI SECURITIES LLC
July 15, 2009 - August 18, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
April 26, 2004 - April 29, 2009
J.P. MORGAN SECURITIES LLC
December 4, 2003 - April 13, 2004
CANNONDALE SECURITIES, LLC
May 8, 2002 - November 7, 2002
HFP CAPITAL MARKETS LLC
January 29, 2001 - April 24, 2002
BURLINGTON CAPITAL MARKETS INC.
December 5, 1994 - October 15, 1999
JOSEPHTHAL & CO., INC.
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: 9/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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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