Kenneth Lipper
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 Lipper, who also goes by Ken Lipper, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1989. Kenneth had worked at 4 firms and has passed the Series 24 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2002 - May 28, 2003
LIPPER OFFSHORE CONVERTIBLES, L.P.
September 22, 1998 - May 28, 2003
LIPPER CONVERTIBLES SERIES II, L.P.
May 20, 1993 - May 28, 2003
LIPPER & COMPANY, L.P.
June 15, 1989 - May 28, 2003
LIPPER CONVERTIBLES, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
LIPPER OFFSHORE CONVERTIBLES, L.P.
CRD#: 34903 / SEC#: , 8-46566
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIPPER OFFSHORE CONVERTIBLES CORP. | LIMITED PARTNER | |
| JEROME SERVICE CORP. LDC | GENERAL PARTNER | |
| BLOCK, LAWRENCE STEVEN | GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER; ROP; SROP; CROP | 3006613 |
| FINKEL, STEVEN | FINANCIAL/OPERATIONS PRINCIPAL | 2035146 |
| LIPPER, KENNETH | GENERAL SECURITIES PRINCIPAL | 310484 |
| QUILLIGAN, DECLAN GERARD | FINANCIAL/OPERATIONS PRINCIPAL | 2766976 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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