Kevin J. Delaney
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 James Delaney, CFP® was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1983. Kevin had worked at 8 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
Start date: 2017
Experience
September 18, 2012 - November 1, 2013
SOURCE CAPITAL GROUP, INC.
January 7, 2010 - February 3, 2011
CRT CAPITAL GROUP LLC
January 7, 2005 - December 16, 2009
FHN FINANCIAL SECURITIES CORP.
August 23, 2001 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 3, 1998 - December 11, 2000
JPMSI
September 22, 1993 - December 19, 1997
CITIGROUP GLOBAL MARKETS INC.
March 21, 1988 - September 14, 1993
UBS FINANCIAL SERVICES INC.
August 23, 1983 - August 2, 1988
L. F. ROTHSCHILD & CO. 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
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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