Larry A. Kimmel
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.
Larry Alan Kimmel, who also goes by Larry A Kimmel, Lawrence Kimmel, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1971. Larry had worked at 18 firms and has passed the Series 63, Series 65, SIE, Series 15, Series 5, PC, Series 1, Series 27, Series 14, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - July 31, 2018
ROTHSCHILD & CO REDBURN
October 21, 2010 - January 5, 2011
CITADEL SECURITIES LLC
March 27, 2009 - January 27, 2010
JEFFERIES LLC
August 29, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
April 26, 2004 - September 17, 2007
GLEACHER & COMPANY SECURITIES, INC.
October 3, 2003 - April 26, 2004
CIS SECURITIES, INC.
March 20, 2002 - December 31, 2002
J.P. MORGAN SECURITIES INC.
December 6, 2001 - February 7, 2002
LEWCO SECURITIES CORP.
April 29, 2001 - December 31, 2002
J.P. MORGAN SECURITIES INC.
January 3, 2001 - May 1, 2001
JPMSI
April 30, 1997 - May 17, 2001
ORD MINNETT INC.
September 10, 1996 - May 29, 2001
ROBERT FLEMING INC.
December 7, 1994 - August 23, 1996
NATWEST SECURITIES CORPORATION
October 17, 1991 - May 19, 1992
INTESA SANPAOLO IMI SECURITIES CORP.
September 18, 1991 - October 17, 1991
FLETCHER CAPITAL MARKETS, INC.
March 26, 1990 - July 23, 1991
BT BROKERAGE CORPORATION
December 8, 1988 - August 2, 1991
DB ALEX. BROWN LLC
July 12, 1976 - December 3, 1988
SALOMON BROTHERS INC.
March 18, 1971 - June 28, 1971
SHIELDS MODEL ROLAND 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 15
Date: 11/19/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/21/1981
Interest Rate Options ExaminationPC
Date: 12/3/1980
AMEX Put and Call ExamSeries 1
Date: 3/11/1971
Registered Representative ExaminationSeries 12
Date: 1/17/1981
NYSE Branch Manager ExaminationCurrent Firm
ROTHSCHILD & CO REDBURN
CRD#: 140564 / SEC#: , 8-67320
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REDBURN (EUROPE) LIMITED | PARENT COMPANY | |
| BRISTOWE, WILLIAM ROBERT | HEAD OF US ACCESS AND REDBURN ATLANTIC US VICE CHAIRMAN | 1798670 |
| CONNELLY, ARTHUR MARK JR. | US HEAD OF ECM | 2056930 |
| GORDON, BENJAMIN JAKE | CHIEF COMPLIANCE OFFICER | 6677911 |
| JOSEPH, ROWAN MURRAY | HEAD OF NORTH AMERICA | 5517410 |
| KRZAK, ALEXANDER JACOB | PRINCIPAL OPERATIONS OFFICER | 6349160 |
| MCELLIGOTT, CASEY MEREDITH | HEAD OF US EXECUTION | 4440554 |
| SCHACKERT, CHRISTA MARY | FINOP, PRINCIPAL FINANCIAL OFFICER | 4219093 |
Disclosures
| Regulatory Event | 1 |
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.
