Kevin B. Ginty
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 Bernard Ginty, CFP® was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1982. Kevin had worked at 9 firms and has passed the Series 63, Series 65, Series 6, Series 5, 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 20, 2011 - June 28, 2012
VANDERBILT SECURITIES, LLC
December 3, 1993 - January 4, 2002
PRIME CAPITAL SERVICES, INC.
December 16, 1992 - November 24, 1993
THE INVESTMENT CENTER, INC.
March 11, 1992 - November 25, 1992
IDS LIFE INSURANCE COMPANY
March 11, 1992 - November 25, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
February 14, 1990 - February 27, 1991
LEHMAN BROTHERS INC.
December 5, 1988 - February 20, 1990
UBS FINANCIAL SERVICES INC.
August 5, 1985 - December 23, 1988
PRUDENTIAL EQUITY GROUP, LLC
March 16, 1982 - August 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 3/2/1982
Interest Rate Options ExaminationCurrent Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
