Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Kenney is a financial professional with over 30 years of experience in the industry. James currently works at Bofa Securities, Inc. James has a strong background in securities, having previously worked for Cantor Fitzgerald & Co., Imperial Capital, LLC and Goldman Sachs & Co. LLC. James is a Series 63, Series 7, Series 9, Series 10 and Series 57TO licensed representative. James is registered to provide investment advice in all 50 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Research-related services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Negotiated fees for research-related services
1
2
NY
07/09/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
12/18/2017 - 10/08/2018
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
06/26/2017 - 12/12/2017
IMPERIAL CAPITAL, LLC (NEW YORK NY)
NY
10/16/2000 - 05/25/2017
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
NY
10/16/1991 - 10/16/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 12/18/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/21/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/02/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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