Jack W. Kindregan
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.
Jack William Kindregan was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1983. Jack had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 24 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
August 29, 2013 - September 1, 2015
LEK SECURITIES CORPORATION
March 14, 2011 - September 6, 2011
GATE US LLC
April 1, 2010 - December 21, 2010
ELECTRONIC SECURITIES PROCESSING (ESP) LLC
September 22, 2008 - January 20, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
May 21, 2008 - June 13, 2008
LAVAFLOW, INC.
January 22, 2007 - June 13, 2008
LAVA TRADING, INC.
August 28, 2003 - January 4, 2006
NYFIX MILLENNIUM, L.L.C.
January 2, 1997 - April 2, 1997
ABN AMRO INCORPORATED
February 21, 1995 - January 2, 1997
THE CHICAGO CORPORATION
February 25, 1992 - March 3, 1995
ABN AMRO SECURITIES LLC
December 15, 1983 - September 20, 1991
UBS FINANCIAL SERVICES INC.
October 25, 1983 - June 4, 1984
UBS ASSET MANAGEMENT (US) 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 8
Date: 10/10/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEK SECURITIES CORPORATION
CRD#: 33135 / SEC#: , 8-42152
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 42 |
| Civil Event | 1 |
| 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.
