Joseph F. Kern
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.
Joseph Ferdinand Kern was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 11 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2011 - August 29, 2012
GFI SECURITIES LLC
February 3, 2005 - June 7, 2005
AURIGA USA, LLC
July 31, 1999 - November 11, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 28, 1995 - July 8, 1999
WELLS FARGO CLEARING SERVICES, LLC
August 4, 1993 - May 5, 1995
ROBERT THOMAS SECURITIES, INC
October 11, 1992 - July 30, 1993
LEHMAN BROTHERS INC.
December 7, 1989 - April 26, 1990
TULLETT LIBERTY BROKERAGE INC.
July 25, 1987 - November 27, 1989
INTERCAPITAL GOVERNMENT SECURITIES INC.
September 29, 1986 - March 2, 1987
G.I.M.B. MUNICIPAL SECURITIES BROKER
April 3, 1985 - September 11, 1986
EMR SECURITIES, INC.
August 12, 1983 - March 18, 1985
TITUS & DONNELLY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GFI SECURITIES LLC
CRD#: 19982 / SEC#: , 8-43548
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFINET INC. | SOLE MEMBER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | PRINCIPAL | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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