Kendra M. Beaven
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.
Kendra Michelle Beaven, who also goes by Kendra Michelle Wisler Beaven, Kendra Michelle Beaven, Kendra Wisler Beaven, Kendra Michelle Wisler, Kendra Wisler, was a registered financial professional .
Kendra is a previously registered financial professional and started their career in finance in 1993. Kendra had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, 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
July 1, 2022 - November 28, 2023
BNY MELLON CAPITAL MARKETS, LLC
April 29, 2019 - September 22, 2020
NATWEST MARKETS SECURITIES INC.
August 3, 2011 - July 31, 2018
UBS SECURITIES LLC
May 29, 2007 - May 17, 2011
BARCLAYS CAPITAL INC.
August 16, 2002 - May 25, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2001 - July 22, 2002
BARCLAYS CAPITAL INC.
June 29, 1998 - December 2, 1999
UBS SECURITIES LLC
October 4, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
March 23, 1993 - June 16, 1994
CHARLES SCHWAB & CO., 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
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationCurrent Firm
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
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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