Kevin P. Vancleve
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.
Kevin Patrick Vancleve was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1981. Kevin had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 12, Series 4, Series 53 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
February 1, 2013 - November 4, 2014
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
October 21, 2009 - November 3, 2014
WELLINGTON SHIELDS & CO., LLC
November 3, 2006 - December 11, 2009
SHIELDS & COMPANY
October 6, 2004 - November 8, 2006
GUNNALLEN FINANCIAL, INC
August 27, 2004 - September 27, 2004
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
August 5, 2003 - October 12, 2004
R.W. SMITH & ASSOCIATES, LLC
July 13, 2000 - November 25, 2003
SHIELDS & COMPANY
May 23, 1990 - July 7, 2000
DONALD & CO. SECURITIES INC.
September 7, 1989 - March 13, 1990
RAYMOND JAMES & ASSOCIATES, INC.
October 27, 1987 - July 17, 1989
THE HEITNER CORPORATION
April 29, 1986 - July 6, 1987
AMERIPRISE ADVISOR SERVICES, INC.
August 1, 1984 - April 25, 1986
NATIONSBANC SECURITIES OF GEORGIA, INC.
January 14, 1983 - July 13, 1984
MARVEST SECURITIES, INC.
March 30, 1982 - December 13, 1982
UNDERHILL ASSOCIATES, INCORPORATED
December 24, 1981 - March 25, 1982
FIRST JERSEY SECURITIES, INC.
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
Series 12
Date: 9/11/2001
NYSE Branch Manager ExaminationCurrent Firm
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
CRD#: 41282 / SEC#: , 8-49352
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HALPERT, JEFFREY ROSS | CEO | 2072459 |
| HALPERT, JEFFREY ROSS | PRESIDENT | 2072459 |
| HYNES, EDWARD JAMES JR | MEMBER | 1058397 |
| PASCULLI, ANTHONY GREGORY | MEMBER | 2238324 |
| CHIECO, DAVID ANTHONY | MEMBER | 1563513 |
| FEINSTEIN, GEOFF IRA | MEMBER | 2259310 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| COLARUSSO, GINNY | CCO | 4221362 |
| GARBUS, STEVEN DAVID | MEMBER | 1268525 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
