Kenneth N. Greenbaum
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 Neil Greenbaum was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1992. Kenneth had worked at 8 firms and has passed the Series 65, Series 63, Series 7 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
September 26, 2003 - June 2, 2006
BAIRD, PATRICK & CO., INC.
July 6, 2000 - September 25, 2003
ARJENT LTD.
March 23, 1999 - May 25, 2000
JWGENESIS SECURITIES, INC.
October 25, 1997 - October 19, 1998
THE THERMOPYLAE GROUP, INC.
August 27, 1997 - October 21, 1997
FIRST PROVIDENCE FINANCIAL GROUP, LLC
June 23, 1997 - July 14, 1997
TRAUTMAN WASSERMAN & COMPANY, INC.
November 21, 1994 - May 23, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
March 27, 1992 - November 22, 1994
ROYCE INVESTMENT GROUP, 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
BAIRD, PATRICK & CO., INC.
CRD#: 1149 / SEC#: , 8-18029
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 2 |
Red Flags
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