Diane M. Kenna
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.
Diane Marie Kenna, who also goes by Diane M Kenna, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1994. Diane had worked at 3 firms and has passed the Series 63, Series 79TO, SIE, 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
August 27, 2021 - April 14, 2023
CAPCONNECT+ EMARKETS
December 10, 2009 - October 30, 2020
HSBC SECURITIES (USA) INC.
November 21, 1994 - July 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 3/28/2024
Investment Banking Registered Representative ExaminationCurrent Firm
CAPCONNECT+ EMARKETS
CRD#: 310433 / SEC#: , 8-70596
Contact information
FINRA licenses (4 States and Territories)
Documents
Red Flags
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