James W. Kenney
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 Walter Kenney, who also goes by Jim Kenney, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 5, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - December 31, 2020
CRESCENT SECURITIES GROUP, INC.
March 5, 2007 - December 31, 2012
BALDWIN ANTHONY SECURITIES, INC.
July 29, 2005 - September 13, 2005
BROWN BROTHERS HARRIMAN & CO.
September 10, 1993 - February 21, 2007
RICHFIELD ORION INTERNATIONAL, INC.
April 22, 1992 - August 23, 1993
RENCAP SECURITIES, INC.
December 7, 1989 - February 25, 1992
CAPIS
March 20, 1987 - October 12, 1989
RAUSCHER PIERCE REFSNES, INC.
March 19, 1975 - March 10, 1987
WEBER, HALL, SALE & ASSOCIATES, INC.
January 29, 1974 - March 22, 1975
DREXEL BURNHAM LAMBERT INCORPORATED
May 23, 1973 - February 7, 1974
WEBER, HALL, SALE & ASSOCIATES, INC.
July 15, 1969 - July 23, 1973
EARP KENNEY & SMITH 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 55
Date: 6/5/2001
Limited Representative-Equity Trader ExamSeries 5
Date: 11/24/1981
Interest Rate Options ExaminationPC
Date: 1/1/1978
AMEX Put and Call ExamSeries 1
Date: 5/2/1967
Registered Representative ExaminationSeries 00
Date: 7/3/1969
General Securities Principal ExaminationCurrent Firm
CRESCENT SECURITIES GROUP, INC.
CRD#: 114993 / SEC#: , 8-53457
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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