Kevin J. Mcguire
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 Joseph Mcguire was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1982. Kevin had worked at 18 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2015 - August 12, 2025
CITIZENS JMP SECURITIES, LLC
July 19, 2010 - October 5, 2015
BTIG, LLC
February 23, 2010 - July 14, 2010
B. RILEY & CO., LLC
March 13, 2008 - September 1, 2009
FM PARTNERS HOLDINGS LLC
June 5, 2007 - August 22, 2007
THOMAS WEISEL PARTNERS LLC
May 15, 2006 - May 11, 2007
PIPER SANDLER & CO.
November 19, 2003 - January 27, 2006
JEFFERIES LLC
May 20, 2002 - November 17, 2003
MCMAHAN SECURITIES CO. L.P.
September 1, 1998 - May 15, 2002
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
May 27, 1997 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
June 9, 1994 - June 17, 1997
CITIGROUP GLOBAL MARKETS INC.
February 3, 1992 - May 17, 1994
NATIXIS SECURITIES AMERICAS LLC
January 25, 1991 - December 11, 1991
HAMBRECHT & QUIST LLC
May 28, 1986 - December 10, 1990
SCHRODER & CO. INC.
September 4, 1985 - May 13, 1986
CRESVALE INTERNATIONAL, INC.
May 24, 1982 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
May 20, 1982 - September 20, 1985
UBS FINANCIAL SERVICES 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/7/2015
Limited Representative-Equity Trader ExamCurrent Firm
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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