Kevin Hurley
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 Hurley, who also goes by Kevin Brady Hurley, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2001. Kevin had worked at 5 firms and has passed the Series 57TO, SIE, Series 14, 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
June 9, 2009 - December 13, 2016
FIRST CLEARING, LLC
December 17, 2008 - January 2, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 1, 2003 - January 2, 2024
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2002 - April 28, 2002
JOSEPHTHAL & CO., INC.
January 2, 2002 - May 6, 2002
OPPENHEIMER & CO. INC.
June 1, 2001 - January 2, 2002
JOSEPHTHAL & CO., 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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.
