Kenneth L. Kahn
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 Lee Kahn was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1974. Kenneth had worked at 9 firms and has passed the Series 63, Series 1, Series 8, Series 14, Series 4, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2002 - June 2, 2003
VIE INSTITUTIONAL SERVICES, INC.
November 1, 1998 - June 6, 2002
COWEN EXECUTION SERVICES LLC
January 2, 1990 - November 1, 1998
ALPHA MANAGEMENT, INC.
August 23, 1988 - January 2, 1990
ALPHA MANAGEMENT INC.
October 27, 1987 - August 3, 1988
MONTGOMERY SECURITIES
April 3, 1986 - October 28, 1986
BALDWIN CAPITAL PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
September 22, 1983 - June 29, 1984
BA INVESTMENT SERVICES, INC.
February 20, 1976 - August 31, 1983
FINANCIAL CLEARING & SERVICES CORPORATION
February 13, 1974 - March 23, 1974
DIVERSIFIED FINANCIAL SERVICES CORPORATION OF AMERICA
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 1
Date: 2/8/1974
Registered Representative ExaminationSeries 8
Date: 1/17/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 3/12/1976
Registered Principal ExaminationF04
Date: 2/25/1976
Financial Principal ExaminationCurrent Firm
VIE INSTITUTIONAL SERVICES, INC.
CRD#: 47437 / SEC#: , 8-51793
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNIVERSAL TRADING TECHNOLOGIES | SHAREHOLDER | |
| ANDREWS, JENNIFER LYNN MRS. | TREASURER & FINOP | 4002299 |
| CLAYTON, KENNETH PRESTON | VICE PRESIDENT & DIRECTOR | 1243106 |
| CONNOLLY, JAMES MICHAEL | PRINCIPAL, SECRETARY & COMPLIANCE DIRECTOR | 1559931 |
| NOLE, DANIEL ANTHONY JR | CHIEF OPERATING OFFICER/SUPERVISORY PRINCIPAL TRADING | 2337267 |
| PAK, JAMES SUNGSHIK | DIRECTOR & SUPERVISORY PRINCIPAL | 2691776 |
| STAMOS, DEAN GERARD | PRESIDENT & DIRECTOR | 2099584 |
Red Flags
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