Vincent J. Kenney
Professional summary
Vincent John Kenney is a registered financial professional currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 1990. Vincent has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vincent John Kenney's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 24, 2005 - Present
C. L. KING & ASSOCIATES, INC.
Office #1: Nine Elk Street, Albany, NY 12207February 25, 1997 - January 25, 2005
NEEDHAM & COMPANY, LLC
January 9, 1991 - February 24, 1997
BMO CAPITAL MARKETS CORP.
January 19, 1990 - January 2, 1991
ABN AMRO SECURITIES 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
(2/24/2005)
(10/26/2015)
(1/28/2005)
(4/18/2005)
(10/27/2015)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/20/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 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.
