Kenneth A. Finnen
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 Arthur Finnen, who also goes by Kenneth A Finnen, Ken Finnen, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1989. Kenneth had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 25, Series 14, Series 9, Series 4, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2016 - January 27, 2023
NORFOLK MARKETS, LLC
July 31, 2015 - April 25, 2016
WESTPAC CAPITAL MARKETS LLC
January 28, 2015 - July 14, 2015
GFI SECURITIES LLC
November 14, 2011 - October 17, 2014
BEACON GATE LLC
October 5, 2009 - August 1, 2014
G-2 TRADING,LLC
January 22, 2008 - October 5, 2009
LOMBARDI & CO., INC.
August 29, 2007 - December 14, 2007
LABRANCHE FINANCIAL SERVICES, LLC
November 9, 2000 - May 15, 2007
BANC OF AMERICA SECURITIES LLC
July 19, 1999 - November 9, 2000
CREDIT SUISSE SECURITIES (USA) LLC
November 24, 1993 - November 10, 1994
LABRANCHE FINANCIAL SERVICES, LLC
April 14, 1993 - December 5, 1994
HERZOG, HEINE, GEDULD, LLC
September 19, 1989 - April 4, 1991
LOEB PARTNERS CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/18/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 4/14/1999
NYSE Trading Assistant ExaminationCurrent Firm
NORFOLK MARKETS, LLC
CRD#: 103797 / SEC#: , 8-52306
Contact information
FINRA licenses (1 States and Territories)
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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