Stephen P. Kennard
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.
Stephen Partridge Kennard was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 8 firms and has passed the Series 5, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 1998 - January 25, 1999
AXIOM CAPITAL MANAGEMENT, INC.
January 14, 1997 - June 26, 1998
LAIDLAW GLOBAL SECURITIES, INC.
December 28, 1978 - May 30, 1996
CIBC WORLD MARKETS CORP.
April 6, 1978 - August 27, 1978
CITIGROUP GLOBAL MARKETS INC.
September 16, 1977 - February 18, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 25, 1970 - February 27, 1976
BACHE & CO., 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 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 6/15/1979
AMEX Put and Call ExamSeries 1
Date: 12/21/1964
Registered Representative ExaminationSeries 40
Date: 3/16/1970
Registered Principal ExaminationCurrent Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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