Kevin F. Cottrell
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 Francis Cottrell, who also goes by Kevin Francis Cottrell, Zack Cottrell, Kevin F Cottrell, Kevin Cottrell, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1983. Kevin had worked at 18 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 55, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - November 14, 2023
CHARLES SCHWAB & CO., INC.
January 26, 2022 - November 14, 2023
CHARLES SCHWAB & CO., INC.
May 20, 2021 - October 14, 2022
TD AMERITRADE, INC.
May 20, 2021 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 20, 2021 - November 14, 2023
TD AMERITRADE, INC.
June 23, 2020 - September 17, 2020
J.P. MORGAN SECURITIES LLC
June 23, 2020 - September 17, 2020
J.P. MORGAN SECURITIES LLC
October 10, 2019 - October 21, 2019
INDEPENDENT FINANCIAL GROUP, LLC
October 7, 2019 - November 8, 2019
O'DONNELL FINANCIAL SERVICES, LLC
October 7, 2019 - October 21, 2019
INDEPENDENT FINANCIAL GROUP, LLC
May 11, 2015 - October 4, 2019
TD AMERITRADE, INC.
May 11, 2015 - October 4, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 4, 2015 - October 4, 2019
TD AMERITRADE, INC.
February 13, 2013 - June 29, 2015
FULL COMPASS INVESTMENT ADVISORS
June 15, 2010 - January 2, 2013
SRA CAPITAL MANAGEMENT LLC
January 8, 2007 - October 2, 2012
SECURITY RESEARCH ASSOCIATES, INC.
January 27, 2006 - December 20, 2006
MDB CAPITAL
March 18, 2003 - November 2, 2005
MOORS & CABOT, INC.
January 3, 2002 - March 17, 2003
FULCRUM GLOBAL PARTNERS LLC
October 27, 2000 - January 7, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 28, 1999 - June 13, 2000
CANACCORD GENUITY SECURITIES LLC
November 26, 1990 - February 21, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 26, 1990 - February 21, 1992
PRUCO SECURITIES, LLC.
August 22, 1986 - October 15, 1990
SUTRO & CO. INCORPORATED
September 27, 1983 - August 11, 1986
THE SEIDLER COMPANIES INCORPORATED
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 55
Date: 5/17/2006
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
