Kevin J. Cerruti
Professional summary
Kevin John Cerruti was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Kevin had worked at 19 firms, which includes GUNNALLEN FINANCIAL INC, BUCKMAN BUCKMAN & REID INC., NATIONAL SECURITIES CORPORATION, BROCKINGTON SECURITIES INC., LACONIA CAPITAL CORPORATION, RICHMARK CAPITAL CORPORATION, STONE HARBOR FINANCIAL SERVICES LLC, SHARPE CAPITAL INC., CANTONE RESEARCH INC., MONITOR INVESTMENT GROUP INC., PARAGON CAPITAL MARKETS INC., JWGENESIS SECURITIES INC., REICH & CO. INC., DONALD & CO. SECURITIES INC., J. T. MORAN & CO. INC., BERKELEY SECURITIES CORPORATION, NICHOLAS LAWRENCE & CO. INC., PHILIPS APPEL & WALDEN INC., UNDERHILL ASSOCIATES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2004 - December 2, 2004
GUNNALLEN FINANCIAL, INC
April 14, 2003 - March 5, 2004
BUCKMAN, BUCKMAN & REID, INC.
February 3, 2003 - April 10, 2003
NATIONAL SECURITIES CORPORATION
September 24, 2002 - January 31, 2003
BROCKINGTON SECURITIES, INC.
May 8, 2002 - October 4, 2002
LACONIA CAPITAL CORPORATION
May 1, 2002 - June 28, 2002
RICHMARK CAPITAL CORPORATION
May 7, 2001 - March 20, 2002
STONE HARBOR FINANCIAL SERVICES, LLC
October 20, 2000 - May 10, 2001
NATIONAL SECURITIES CORPORATION
July 22, 1998 - October 26, 2000
SHARPE CAPITAL, INC.
May 21, 1996 - August 13, 1998
CANTONE RESEARCH INC.
April 2, 1996 - August 21, 1996
MONITOR INVESTMENT GROUP, INC.
October 10, 1995 - March 29, 1996
PARAGON CAPITAL MARKETS, INC.
June 27, 1994 - April 17, 1995
JWGENESIS SECURITIES, INC.
September 1, 1992 - June 27, 1994
REICH & CO., INC.
February 26, 1990 - January 29, 1991
DONALD & CO. SECURITIES INC.
January 4, 1990 - February 6, 1990
J. T. MORAN & CO., INC.
October 4, 1989 - December 13, 1989
BERKELEY SECURITIES CORPORATION
December 4, 1986 - March 29, 1988
NICHOLAS, LAWRENCE & CO. INC.
April 17, 1986 - November 6, 1986
PHILIPS, APPEL & WALDEN, INC.
March 26, 1984 - February 24, 1986
UNDERHILL ASSOCIATES, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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