John M. 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.
John Mackenzie Kern, who also goes by John Mckenzie Kern, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and Series 24 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, 2019 - February 18, 2020
CAROFIN, LLC
July 30, 2010 - September 22, 2017
UBS FINANCIAL SERVICES INC.
July 30, 2010 - September 22, 2017
UBS FINANCIAL SERVICES INC.
October 2, 2007 - July 19, 2010
BLACKROCK FINANCIAL MANAGEMENT, INC
October 2, 2007 - July 19, 2010
BLACKROCK INVESTMENTS, LLC
October 24, 2005 - October 2, 2007
QUELLOS FUND SERVICES, LLC
July 14, 2005 - November 2, 2007
QUELLOS PRIVATE CAPITAL MARKETS, L.P.
October 16, 2001 - March 15, 2004
QUELLOS FIXED INCOME ADVISORS LLC
October 16, 2001 - October 2, 2007
QUELLOS CAPITAL MANAGEMENT LP
September 24, 2001 - October 24, 2005
CFT SECURITIES, LLC
October 1, 1997 - February 1, 2000
BANC OF AMERICA SECURITIES LLC
April 7, 1997 - October 1, 1997
MONTGOMERY SECURITIES
June 13, 1995 - April 16, 1997
CAMBRIDGE PARTNERS, L.L.C.
September 24, 1985 - March 28, 1995
CREDIT SUISSE SECURITIES (USA) LLC
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
CAROFIN, LLC
CRD#: 298717 / SEC#: , 8-70224
Contact information
FINRA licenses (21 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAROLINA FINANCIAL SECURITIES, LLC | MEMBER - COMMON | 41970 |
| CAROFIN HOLDINGS, INC. | MEMBER - COMMON | |
| DRAKE, PHILIP CALVIN | MEMBER - PREFERRED | |
| STAR, JOSHUA S. | MEMBER - PREFERRED | 3244678 |
| GILMORE, NICHOLAS CRAIG | CTO, COO-CFO AND FINOP | 5181593 |
| MILHAUPT, PETER STUART | MANAGER | 728310 |
| ROBERTS, BRUCE VICTOR | CCO | 1489110 |
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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