Kevin P. Mott
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 Mott was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1983. Kevin had worked at 9 firms and has passed the Series 63 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
February 22, 2012 - August 27, 2012
MULTI-BANK SECURITIES, INC.
April 1, 2004 - September 23, 2004
TERWIN CAPITAL, LLC
September 18, 2002 - January 9, 2004
LEGG MASON WOOD WALKER, INCORPORATED
September 13, 1993 - February 3, 1995
CITIGROUP GLOBAL MARKETS INC.
September 7, 1989 - June 29, 1993
LEHMAN SPECIAL SECURITIES INC.
September 7, 1989 - June 29, 1993
LEHMAN BROTHERS INC.
October 7, 1987 - June 29, 1993
LEHMAN GOVERNMENT SECURITIES INC.
January 25, 1984 - August 31, 1984
BECKER PARIBAS INCORPORATED
November 10, 1983 - March 3, 1986
PMI SECURITIES CO.
September 7, 1983 - November 7, 1983
PMI SECURITIES CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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