Stephen M. Kernan

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CRD#: 2071217

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.

Stephen Michael Kernan, who also goes by Stephen Mike Kernan, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2011. Stephen had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen Mike Kernan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 4, 2011 - December 14, 2016

IMC SECURITIES LLC

CRD#: 144874

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

IMC SECURITIES LLC

CARDINAL CAPITAL MANAGEMENT LLC | IMC SECURITIES LLC

CRD#: 144874 / SEC#: , 8-67680

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

233 South Wacker Drive #4300, Chicago, IL 60606

Mailing Address

233 South Wacker Drive #4300, Chicago, IL 60606

Phone number

(312) 244-3300

Established

Illinois since 05/23/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
IMC AMERICAS INC.	MEMBER
DOWNEY, JASON EDWARD	CCO	6080734
HOFFMAN, ADAM MICHAEL	COO	5579229
LIEGEON, CHRISTINE ELIZABETH	CEO	5679799
NOWICKI, PAUL	FINOP, CFO, PFO, POO	6097424

Disclosures

Regulatory Event

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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