Kenneth S. Nierenberg
Professional summary
Kenneth Stuart Nierenberg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kenneth is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Kenneth had worked at 5 firms, which includes M&T SECURITIES INC., KEY INVESTMENTS INC., NYLIFE SECURITIES LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 1998 - October 19, 2006
M&T SECURITIES, INC.
July 10, 1997 - December 12, 1997
KEY INVESTMENTS INC.
February 8, 1988 - July 28, 1997
NYLIFE SECURITIES LLC
December 17, 1986 - February 8, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 17, 1986 - February 9, 1988
EQUITABLE ADVISORS, 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
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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