Kevin J. Armstrong
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 James Armstrong was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 7, Series 14, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2019 - April 7, 2020
ALLY INVEST SECURITIES LLC
June 19, 2014 - June 27, 2018
SS&C MARKET SERVICES, LLC
July 1, 2008 - June 5, 2014
PERSHING ADVISOR SOLUTIONS LLC
February 14, 2008 - July 1, 2008
PERSHING LLC
April 2, 2007 - January 18, 2008
MORGAN STANLEY & CO. LLC
April 17, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
June 23, 2003 - February 21, 2006
IDS LIFE INSURANCE COMPANY
June 23, 2003 - February 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 2002 - February 6, 2003
PORTIGON SECURITIES INC.
March 22, 2000 - August 24, 2001
NATIONAL FINANCIAL SERVICES LLC
July 28, 1998 - March 9, 2000
APEX CLEARING CORPORATION
March 17, 1998 - July 27, 1998
FIS SECURITIES, INC.
April 25, 1996 - December 24, 1997
FIRST OF MICHIGAN CORPORATION
September 1, 1987 - January 1, 1989
PRUDENTIAL EQUITY GROUP, LLC
April 23, 1985 - April 27, 1987
THOMSON MCKINNON SECURITIES 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 15
Date: 7/29/1985
Foreign Currency Options ExaminationSeries 8
Date: 5/14/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
