Kevin J. Jennings
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.
Kevin John Jennings was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 7 firms and has passed the Series 63, SIE, 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
July 24, 2006 - March 19, 2009
IRONSTONE SECURITIES, INC.
November 8, 2005 - November 24, 2015
FIRST CITIZENS INVESTOR SERVICES, INC.
April 7, 2005 - October 31, 2005
GUGGENHEIM DISTRIBUTORS, LLC
January 16, 2002 - March 29, 2005
NYLIFE SECURITIES LLC
January 8, 2001 - November 30, 2001
LINCOLN INVESTMENT
October 6, 1999 - November 6, 2000
USACAPITAL INC.
December 24, 1997 - March 17, 1999
HARRIS INVESTORLINE 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
Current Firm
IRONSTONE SECURITIES, INC.
CRD#: 130335 / SEC#: , 8-66333
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BLACK, KENNETH ALEXANDER | DIRECTOR | 2989066 |
| BOGACZYK, STEVEN FRED | CFO, DIRECTOR | 2469749 |
| CREEKMAN, JAMES ERVIN | DIRECTOR | 2989069 |
| HOLDING, FRANK BROWN JR | DIRECTOR | 2989068 |
| JONES, HIRAM RAMSEY II | PRESIDENT | 1876061 |
| LOWMAN, LAWRENCE MINETREE | DIRECTOR OF COMPLIANCE; CHIEF COMPLIANCE OFFICER | 1642166 |
| YOCHEM, CAROL BLADE | DIRECTOR | 1254414 |
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.
