Kenneth J. Canepa

UNION CAPITAL MANAGEMENT CORP

New Orleans, LA

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CRD#: 1414719

Professional summary

Kenneth Joseph Canepa is a registered financial advisor currently at UNION CAPITAL MANAGEMENT CORP located in New Orleans, Louisiana.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Kenneth has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 2, Series 24, Series 27 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Joseph Canepa's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 26, 2007 - Present

UNION CAPITAL MANAGEMENT CORP

RIA

CRD#: 109670

New Orleans, LA

Past

December 7, 1987 - September 17, 1992

FIRST COMMONWEALTH SECURITIES CORPORATION

CRD#: 20854

ATLANTA, GA

Past

August 24, 1987 - November 16, 1987

FSC SECURITIES CORPORATION

CRD#: 7461

Past

October 24, 1986 - July 14, 1987

FIRST OHIO SECURITIES COMPANY

CRD#: 15903

Past

March 18, 1986 - September 8, 1986

DOVER GROUP, INC.

CRD#: 16809

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(6/26/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 10/19/1984

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 24

Date: 5/24/1988

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 10/7/1987

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/15/1987

Municipal Securities Principal Examination

Current Firm

UNION CAPITAL MANAGEMENT CORP

CRD#: 109670 / SEC#: 801-30163

RIA

Registered Investment Advisory firm - (1/28/2003 Cancelled)

Louisiana

Registered Investment Advisory firm - (6/25/2007 Approved)

North Carolina

Registered Investment Advisory firm - (9/21/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

New Orleans, LA

Mailing Address

Phone number

(504) 569-9068

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	49
AUM (Assets Under Management)	$ 64,356,921

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.

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Kenneth J. Canepa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Joseph Canepa's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST COMMONWEALTH SECURITIES CORPORATION

FSC SECURITIES CORPORATION

FIRST OHIO SECURITIES COMPANY

DOVER GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2007

Series 63

Date: 10/19/1984

Series 7

Date: 12/14/1985

Series 2

Date: 10/19/1984

Series 24

Date: 5/24/1988

Series 27

Date: 10/7/1987

Series 53

Date: 9/15/1987

Current Firm

UNION CAPITAL MANAGEMENT CORP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

UNION CAPITAL MANAGEMENT CORP

TRUST BUT VERIFY

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