Kerry S. Rudy
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.
Kerry Stuart Rudy was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1990. Kerry had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2023 - January 2, 2024
MARCH CAPITAL CORP.
October 8, 2021 - December 10, 2021
PALLADIUM CAPITAL GROUP, LLC
February 12, 2020 - February 24, 2020
MARCH CAPITAL CORP.
August 26, 2015 - December 12, 2018
PNC CAPITAL MARKETS LLC
November 29, 2010 - August 25, 2015
BMO CAPITAL MARKETS GKST INC.
February 5, 2009 - September 27, 2010
B. C. ZIEGLER AND COMPANY
October 13, 2003 - December 31, 2008
GOLDMAN SACHS & CO. LLC
March 25, 2003 - July 2, 2003
MORGAN KEEGAN & COMPANY, LLC
September 11, 1991 - May 12, 2000
LEHMAN BROTHERS INC.
September 14, 1990 - July 15, 1991
GOLDMAN SACHS & CO. 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
