James H. Kennedy
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.
James Hayes Kennedy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 3 firms and has passed the Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 1977 - February 26, 1985
LEGEND CAPITAL CORPORATION
September 20, 1974 - December 19, 1975
NORTH STAR EQUITIES COMPANY
September 20, 1974 - August 19, 1985
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
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: 9/12/1974
Registered Representative ExaminationCurrent Firm
LEGEND CAPITAL CORPORATION
CRD#: 4149 / SEC#: , 8-14834
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
