Paul V. Kavanagh
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.
Paul Victor Kavanagh was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 2 firms and has passed the Series 65, Series 63, SIE 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
May 16, 2021 - February 13, 2024
BRIGHTON SECURITIES CORP.
August 29, 2005 - February 13, 2024
BRIGHTON SECURITIES CORP.
March 22, 1984 - September 9, 2005
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
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
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,384 |
| AUM (Assets Under Management) | $ 986,154,864 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 03/01/2024 | ||
| 03/20/2023 |
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.
