Kenneth I. Tuchman
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 I Tuchman was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1995. Kenneth had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE 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
December 21, 2018 - March 2, 2021
THIRD SEVEN CAPITAL LLC
April 7, 2010 - January 18, 2017
BMO CAPITAL MARKETS CORP.
January 2, 2009 - March 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2007 - May 4, 2009
BANC OF AMERICA SECURITIES LLC
January 1, 2005 - June 20, 2007
COMMERZ MARKETS LLC
May 19, 1997 - January 1, 2005
DRESDNER KLEINWORT WASSERSTEIN, LLC
November 14, 1995 - March 25, 1997
LEHMAN BROTHERS 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: 2/6/2024
General Securities Representative ExaminationSeries 79TO
Date: 2/6/2024
Investment Banking Registered Representative ExaminationCurrent Firm
THIRD SEVEN CAPITAL LLC
CRD#: 160209 / SEC#: , 8-69032
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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