John Kennedy
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.
John Kennedy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2009 - August 13, 2012
FINANCIAL WEST GROUP
January 26, 2009 - August 13, 2012
FINANCIAL WEST GROUP
May 3, 2002 - October 6, 2008
RBC CAPITAL MARKETS, LLC
March 9, 2002 - October 6, 2008
RBC CAPITAL MARKETS, LLC
January 21, 2000 - March 9, 2002
SUTRO & CO. INCORPORATED
July 31, 1993 - January 31, 2000
CITIGROUP GLOBAL MARKETS INC.
January 24, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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