JK
James S. Kannenberg
ARTISAN PARTNERS DISTRIBUTORS LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 6902767
JK
Professional summary
James Scott Kannenberg is a registered financial professional currently at ARTISAN PARTNERS DISTRIBUTORS LLC located in San Francisco, California.
James is registered as a RR (Registered Representative) and started their career in finance in 2018. James has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Scott Kannenberg's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2023 - Present
ARTISAN PARTNERS DISTRIBUTORS LLC
Office #1: One California Street, Suite 2800, San Francisco, CA 94111BD
CRD#: 45446
San Francisco, CA
Past
November 16, 2020 - January 9, 2023
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
CHICAGO, IL
Past
November 9, 2020 - January 9, 2023
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
April 21, 2018 - November 9, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/19/2023)
RR
Alaska(1/19/2023)
RR
Arizona(1/19/2023)
RR
Arkansas(1/19/2023)
RR
California(1/19/2023)
RR
Colorado(1/19/2023)
RR
Connecticut(1/19/2023)
RR
Delaware(1/19/2023)
RR
District of Columbia(1/19/2023)
RR
Florida(1/19/2023)
RR
Georgia(1/19/2023)
RR
Hawaii(1/19/2023)
RR
Idaho(1/19/2023)
RR
Illinois(1/19/2023)
RR
Indiana(1/19/2023)
RR
Iowa(1/19/2023)
RR
Kansas(1/19/2023)
RR
Kentucky(1/19/2023)
RR
Louisiana(1/19/2023)
RR
Maine(1/19/2023)
RR
Maryland(1/19/2023)
RR
Massachusetts(1/19/2023)
RR
Michigan(1/19/2023)
RR
Minnesota(1/19/2023)
RR
Mississippi(1/19/2023)
RR
Missouri(1/19/2023)
RR
Montana(1/19/2023)
RR
Nebraska(1/19/2023)
RR
Nevada(1/19/2023)
RR
New Hampshire(1/19/2023)
RR
New Jersey(1/19/2023)
RR
New Mexico(1/19/2023)
RR
New York(1/19/2023)
RR
North Carolina(1/19/2023)
RR
North Dakota(1/19/2023)
RR
Ohio(1/19/2023)
RR
Oklahoma(1/19/2023)
RR
Oregon(1/19/2023)
RR
Pennsylvania(1/19/2023)
RR
Puerto Rico(1/19/2023)
RR
Rhode Island(1/19/2023)
RR
South Carolina(1/19/2023)
RR
South Dakota(1/19/2023)
RR
Tennessee(1/19/2023)
RR
Texas(1/19/2023)
RR
Utah(1/19/2023)
RR
Vermont(1/19/2023)
RR
Virgin Islands(1/19/2023)
RR
Virginia(1/19/2023)
RR
Washington(1/19/2023)
RR
West Virginia(1/19/2023)
RR
Wisconsin(1/19/2023)
RR
Wyoming(1/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/14/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AP
ARTISAN PARTNERS DISTRIBUTORS LLC
ARTISAN DISTRIBUTORS LLC | ARTISAN PARTNERS DISTRIBUTORS LLC
CRD#: 45446 / SEC#: , 8-51043
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
875 E. Wisconsin Avenue Suite 800, Milwaukee, WI 53202
Mailing Address
875 E. Wisconsin Avenue Suite 800, Milwaukee, WI 53202
Phone number
(414) 390-6100
Established
Wisconsin since 12/12/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTISAN PARTNERS HOLDINGS LP | SOLE MEMBER OF LLC | |
| DEMSKI, JILL MARIE | CHIEF COMPLIANCE OFFICER | 4313464 |
| HAMMAN, JAMES STEPHEN JR | VICE PRESIDENT & SECRETARY | 2767492 |
| KREIN, CHRISTOPHER JON | VICE PRESIDENT | 4534130 |
| RAMIREZ, GREGORY KENNETH | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3094595 |
| VON HOFF, RYAN GEORGE | VICE PRESIDENT, TREASURER AND CHIEF FINANCIAL OFFICER | 7169306 |
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.
