Kenneth S. Carberry
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 Slater Carberry III, who also goes by Kenneth Slater Carberry, Kenneth Slater Carberry III III, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1996. Kenneth had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2024 - November 10, 2025
CANTOR FITZGERALD & CO.
April 29, 2022 - February 28, 2023
B. RILEY SECURITIES, INC.
April 4, 2022 - January 5, 2024
B. RILEY WEALTH MANAGEMENT
February 24, 2020 - April 6, 2022
IMPERIAL CAPITAL, LLC
May 24, 2017 - June 15, 2019
BMO CAPITAL MARKETS CORP.
April 5, 2016 - May 15, 2017
SEAPORT GLOBAL SECURITIES LLC
April 18, 2006 - March 21, 2016
MORGAN STANLEY & CO. LLC
May 6, 2004 - April 8, 2006
MORGAN STANLEY DW INC.
June 10, 2002 - June 10, 2003
BARCLAYS CAPITAL INC.
December 20, 2001 - March 20, 2002
DEUTSCHE BANK SECURITIES INC.
October 23, 1996 - December 13, 2001
MORGAN STANLEY DW 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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