Kevin E. Radde
Professional summary
Kevin Edward Radde 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 professional and started their career in finance in 1984. Prior to being barred, Kevin had worked at 6 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, A. G. EDWARDS & SONS INC., AMERICAN GENERAL SECURITIES INCORPORATED, NYLIFE SECURITIES LLC, FRANCIS MANZO & COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - September 30, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 18, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 31, 1986 - September 24, 1997
A. G. EDWARDS & SONS, INC.
March 24, 1986 - August 7, 1986
AMERICAN GENERAL SECURITIES INCORPORATED
March 14, 1985 - March 3, 1986
NYLIFE SECURITIES LLC
October 26, 1984 - January 16, 1985
FRANCIS MANZO & COMPANY, INCORPORATED
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
