Kevin C. Slocum

M.M. DILLON & CO. LLC

Greenwich, CT 06830

Some features on this profile are disabled

CRD#: 1026585

Professional summary

Kevin Charles Slocum is a registered financial professional currently at M.M. DILLON & CO. LLC located in Greenwich, Connecticut.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1981. Kevin has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Charles Slocum'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®

None

Experience

Current

November 21, 2016 - Present

M.M. DILLON & CO. LLC

Office #1: One Sound Shore Drive Suite 100, Greenwich, CT 06830

CRD#: 19878

Greenwich, CT

Past

June 25, 2014 - December 18, 2015

HEADWATERS BD, LLC

CRD#: 117042

DENVER, CO

Past

June 11, 2010 - June 16, 2014

M.M. DILLON & CO. LLC

CRD#: 19878

GREENWICH, CT

Past

January 14, 2004 - December 31, 2009

GREENWICH TECHNOLOGY ADVISORS LLC

CRD#: 125858

OLD GREENWICH, CT

Past

May 9, 1996 - January 22, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

CRD#: 15425

OLD GREENWICH, CT

Past

July 9, 1992 - August 19, 1994

WATERMARK SECURITIES, INC.

CRD#: 28683

NEW YORK, NY

Past

September 12, 1991 - April 15, 1992

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

October 9, 1989 - September 24, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 5, 1987 - October 3, 1989

SOUNDVIEW TECHNOLOGY CORPORATION

CRD#: 15425

OLD GREENWICH, CT

Past

December 24, 1981 - August 15, 1986

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(11/21/2016)

Exams

State Security Law Exam

Series 63

Date: 3/19/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/8/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

M.M. DILLON & CO. LLC

C.E. PFEIFER & CO., INC. | M.M. DILLON & CO. LLC | C.E. PFEIFER LLC

CRD#: 19878 / SEC#: , 8-37893

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Sound Shore Drive Suite 100, Greenwich, CT 06830

Mailing Address

One Sound Shore Drive Suite 100, Greenwich, CT 06830

Phone number

(203) 569-6800

Established

Delaware since 03/26/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
C. E. PFEIFER HOLDINGS, LLC	HOLDING COMPANY
MCCARTY, MICHIEL CLEVE	CHAIRMAN & CEO	1061313
ESPINAL, MICHAEL	CHIEF COMPLIANCE OFFICER	1947563

Disclosures

Regulatory Event

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Jason Gilbert

RGA INVESTMENT ADVISORS, LLC

IAR

Great Neck, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin C. Slocum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Charles Slocum's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEADWATERS BD, LLC

M.M. DILLON & CO. LLC

GREENWICH TECHNOLOGY ADVISORS LLC

SOUNDVIEW TECHNOLOGY CORPORATION

WATERMARK SECURITIES, INC.

KIDDER, PEABODY & CO. INCORPORATED

LEHMAN BROTHERS INC.

SOUNDVIEW TECHNOLOGY CORPORATION

L. F. ROTHSCHILD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/1982

SIE

Date: 10/1/2018

Series 7

Date: 12/19/1981

Series 24

Date: 1/8/2004

FINRA

Current Firm

M.M. DILLON & CO. LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

M.M. DILLON & CO. LLC

TRUST BUT VERIFY

Similar Advisors