Lalyn O. Kenyon
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.
Lalyn Ottley Kenyon, who also goes by Lalyn Read Ottley, Lalyn Ottley Kenyon, was a registered financial professional .
Lalyn is a previously registered financial professional and started their career in finance in 1987. Lalyn had worked at 11 firms and has passed the Series 63, Series 7TO, Series 6TO, Series 99TO, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2019 - October 5, 2020
STONEX FINANCIAL INC.
May 10, 2016 - August 15, 2018
COWEN AND COMPANY
August 18, 2015 - May 11, 2016
CRT CAPITAL GROUP LLC
June 28, 2013 - May 28, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 2, 2012 - June 28, 2013
VIRTU AMERICAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
September 5, 2003 - January 3, 2011
KNIGHT LIBERTAS LLC
January 22, 2003 - February 19, 2004
ASHTON THOMAS SECURITIES, LLC
February 20, 1998 - November 21, 2001
BARCLAYS CAPITAL INC.
August 12, 1993 - January 13, 1998
SALOMON BROTHERS INC.
May 9, 1991 - August 22, 1991
FIDELITY BROKERAGE SERVICES LLC
October 2, 1987 - September 21, 1990
FIDELITY BROKERAGE SERVICES 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
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/15/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 12/15/2022
Operations Professional ExaminationCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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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