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KC

Kevin T. Clare

THIRD SEVEN CAPITAL LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 1273319
KC

Professional summary

Kevin Thomas Clare is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1984. Kevin has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Thomas Clare's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 9, 2022 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
BD
CRD#: 160209
Greenwich, CT
Past

June 25, 2014 - July 1, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
STAMFORD, CT
Past

June 2, 2009 - April 11, 2014

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

February 7, 2005 - September 9, 2008

COUNTRYWIDE SECURITIES CORPORATION

BD
CRD#: 10598
CALABASAS, CA
Past

January 10, 2001 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

July 15, 1997 - February 1, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

October 15, 1991 - August 5, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 10, 1986 - September 12, 1991

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

March 6, 1986 - December 8, 1986

SCHRODER & CO. INC.

BD
CRD#: 6112
Past

October 25, 1984 - March 27, 1986

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/9/2022)
RR
Colorado
(5/9/2022)
RR
Florida
(5/9/2022)
RR
Georgia
(5/9/2022)
RR
Illinois
(5/9/2022)
RR
Maryland
(5/9/2022)
RR
Massachusetts
(5/9/2022)
RR
New Jersey
(5/9/2022)
RR
New York
(5/9/2022)
RR
North Carolina
(5/9/2022)
RR
Pennsylvania
(5/9/2022)
RR
Texas
(5/9/2022)
RR
Virginia
(5/9/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/27/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/20/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/30/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/15/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

Disclosures

Regulatory Event1

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.

Company Information

THIRD SEVEN CAPITAL LLC

CRD#: 160209Greenwich, CT 06830

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