Kevin R. Tufts
Professional summary
Kevin Robert Tufts is a registered financial professional currently at ASCENDIANT CAPITAL MARKETS, LLC located in Jupiter, Florida.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1986. Kevin has worked at 11 firms and has passed the Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Robert Tufts's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2011 - Present
ASCENDIANT CAPITAL MARKETS, LLC
Office #1: 110 Front Street, Suite 300, Jupiter, FL 33477October 26, 2001 - March 7, 2011
BMA SECURITIES, LLC
February 28, 2001 - April 5, 2001
HANMI SECURITIES, INC.
February 28, 2001 - September 11, 2001
HARRISON SECURITIES, INC.
November 19, 1997 - October 9, 1998
CARLIN EQUITIES, LLC
November 12, 1993 - April 11, 1997
DAEHAN SECURITIES, INC.
November 30, 1992 - November 2, 1993
E-W INVESTMENTS, INC.
December 1, 1989 - January 6, 1992
THOMAS GREEN SECURITIES, INC.
November 18, 1988 - October 23, 1989
TOLUCA PACIFIC SECURITIES CORP.
July 22, 1986 - April 1, 1987
MEYERS SECURITIES CORPORATION
May 27, 1986 - June 14, 1986
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/11/2011)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 7/8/1998
Limited Representative-Equity Trader ExamFINRA
Current Firm
ASCENDIANT CAPITAL MARKETS, LLC
CRD#: 152912 / SEC#: , 8-68487
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 10 |
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