Kenneth G. Ferrucci
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.
Kenneth George Ferrucci was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1987. Kenneth had worked at 9 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2007 - December 31, 2011
BROKERTEC AMERICAS LLC
February 1, 2002 - April 11, 2007
ICAP SECURITIES USA LLC
April 3, 2000 - August 7, 2001
INTERCAPITAL SECURITIES LLC
April 3, 2000 - January 25, 2002
ICAP SECURITIES USA LLC
October 27, 1999 - February 17, 2000
INTERCAPITAL SECURITIES LLC
October 26, 1999 - February 17, 2000
ICAP SECURITIES USA LLC
April 7, 1999 - April 27, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
November 6, 1996 - April 7, 1999
ICAP SECURITIES USA LLC
June 1, 1995 - October 14, 1996
CANTOR FITZGERALD SECURITIES
May 19, 1995 - December 3, 1996
LIBERTY BROKERS
April 29, 1991 - June 5, 1995
TULLETT PREBON FINANCIAL SERVICES LLC
November 27, 1990 - May 11, 1991
FINANCIAL SQUARE PARTNERS
July 27, 1987 - January 26, 1988
CANTOR FITZGERALD MBS BROKERS, INC.
July 25, 1987 - November 5, 1990
CANTOR FITZGERALD SECURITIES
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
BROKERTEC AMERICAS LLC
CRD#: 47477 / SEC#: , 8-51803
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROKERTEC HOLDINGS INC. | 100% OWNERSHIP | |
| CALDERON, DAVID JASON | CHIEF FINANCIAL OFFICER | 4575354 |
| DENNIS, MICHAEL | DIRECTOR | 4192184 |
| HIRSCHMANN, ELISA M | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 5112554 |
| WAKEFIELD, JONATHAN BISHOP | CEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1676639 |
| WEINMAN, ANDREW LEONARD | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5209879 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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