Kevin D. Kunz
Professional summary
Kevin Dee Kunz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Kevin had worked at 9 firms, which includes PAULSON INVESTMENT COMPANY LLC, INVESTMENT MANAGEMENT CORPORATION, CUNA BROKERAGE SERVICES INC., CENTURY INVESTORS OF AMERICA INC., VP DISTRIBUTORS LLC, AMERITAS INVESTMENT COMPANY LLC, SOUTHMARK FINANCIAL SERVICES INC., AMERIPRISE FINANCIAL SERVICES LLC, MERLIN EQUITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2007 - November 21, 2007
PAULSON INVESTMENT COMPANY LLC
March 15, 1995 - December 31, 2007
INVESTMENT MANAGEMENT CORPORATION
December 13, 1994 - December 31, 2007
INVESTMENT MANAGEMENT CORPORATION
January 2, 1991 - August 19, 1994
CUNA BROKERAGE SERVICES, INC.
October 21, 1989 - December 31, 1990
CENTURY INVESTORS OF AMERICA, INC.
June 26, 1987 - November 8, 1989
VP DISTRIBUTORS LLC
November 13, 1986 - June 22, 1987
AMERITAS INVESTMENT COMPANY, LLC
July 31, 1986 - November 18, 1986
SOUTHMARK FINANCIAL SERVICES, INC.
September 26, 1985 - August 8, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
November 15, 1984 - September 9, 1985
MERLIN EQUITIES INC.
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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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