Kenneth P. Cassidy
Professional summary
Kenneth Patrick Cassidy, who also goes by Ken Cassidy, is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Jennings, Louisiana.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1987. Kenneth has worked at 6 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Patrick Cassidy's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2015 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 502 North Cutting Avenue, Jennings, LA 70546August 29, 2006 - June 17, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 3, 1998 - June 17, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 15, 1992 - March 9, 1998
ARAGON FINANCIAL SERVICES, INC.
August 7, 1991 - August 3, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 7, 1991 - August 3, 1992
PRUCO SECURITIES, LLC.
March 24, 1987 - July 12, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/15/2015)
Exams
FINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
Red Flags
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