Veronica A. Kenney
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.
Veronica Ann Kenney, who also goes by Veronica Ann Mcnulty, was a registered financial professional .
Veronica is a previously registered financial professional and started their career in finance in 1983. Veronica had worked at 9 firms and has passed the Series 63, Series 65, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2011 - December 23, 2011
SORRENTO PACIFIC FINANCIAL, LLC
November 11, 2009 - April 7, 2010
MSI FINANCIAL SERVICES, INC.
November 12, 2003 - May 20, 2004
CITICORP INVESTMENT SERVICES
May 24, 1999 - March 26, 2003
ATLAS SECURITIES, LLC
March 15, 1999 - April 7, 1999
FIDELITY BROKERAGE SERVICES LLC
November 13, 1998 - December 7, 1998
WELLS FARGO CLEARING SERVICES, LLC
April 3, 1997 - July 30, 1999
MORGAN STANLEY DW INC.
July 1, 1985 - December 12, 1987
MORGAN STANLEY DW INC.
March 27, 1984 - May 9, 1985
ADVEST, INC.
December 21, 1983 - March 2, 1984
MOSELEY SECURITIES CORPORATION
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
Current Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
