Kenneth M. Leighton
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 M Leighton, who also goes by Kenneth M. Leighton, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2001. Kenneth had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2018 - June 27, 2019
PENSERRA SECURITIES, LLC
January 14, 2015 - October 30, 2018
LONGBOW SECURITIES, LLC
February 1, 2010 - January 2, 2015
NORTHCOAST RESEARCH PARTNERS, LLC
May 1, 2009 - January 2, 2015
AMERICA NORTHCOAST SECURITIES, INC.
June 7, 2007 - April 30, 2009
FTN EQUITY CAPITAL MARKETS CORP.
October 11, 2005 - December 15, 2006
KEYBANC CAPITAL MARKETS INC.
November 21, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
November 21, 2001 - February 6, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
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.
