Kenneth G. Fox
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 Gerard Fox was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2007. Kenneth had worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2011 - July 5, 2013
FIRST EMPIRE ASSET MANAGEMENT, INC
May 19, 2011 - July 5, 2013
FIRST EMPIRE SECURITIES, INC.
January 19, 2010 - May 17, 2011
NORTHEAST SECURITIES, LLC
June 1, 2009 - October 1, 2009
MORGAN STANLEY
June 1, 2009 - October 1, 2009
MORGAN STANLEY
September 23, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 18, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 8, 2007 - October 2, 2008
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST EMPIRE ASSET MANAGEMENT, INC
CRD#: 134411 / SEC#: 801-69470
Contact information
Red Flags
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