Kim S. Fennebresque
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.
Kim Samuel Fennebresque was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1978. Kim had worked at 6 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
December 21, 2012 - July 22, 2017
FENNEBRESQUE & CO., LLC
May 14, 2010 - September 11, 2012
COWEN SECURITIES LLC
March 30, 1998 - May 14, 2010
COWEN AND COMPANY
July 28, 1994 - January 14, 1998
UBS SECURITIES LLC
February 21, 1991 - August 8, 1994
LAZARD FRERES & CO. LLC
March 23, 1978 - December 31, 1990
CREDIT SUISSE SECURITIES (USA) 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
FENNEBRESQUE & CO., LLC
CRD#: 146857 / SEC#: , 8-67857
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FENNEBRESQUE & CO. HOLDINGS, LLC | OWNER | |
| FENNEBRESQUE, JOHN CLARK JR | MANAGING MEMBER/MANAGING PARTNER, CCO, CFO | 4248387 |
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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