Kevin S. Mertens
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 Stuart Mertens was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 18 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55, Series 7, Series 6, Series 24 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
February 12, 2016 - April 4, 2018
FIRST CITIZENS INVESTOR SERVICES, INC.
January 4, 2016 - April 4, 2018
FIRST CITIZENS INVESTOR SERVICES, INC.
December 2, 2015 - January 4, 2016
FIRST CITIZENS SECURITIES CORPORATION
June 25, 2015 - November 12, 2015
INVEST FINANCIAL CORPORATION
June 24, 2015 - November 12, 2015
INVEST FINANCIAL CORPORATION
April 23, 2013 - June 25, 2015
TD PRIVATE CLIENT WEALTH LLC
February 28, 2013 - June 25, 2015
TD PRIVATE CLIENT WEALTH LLC
May 19, 2011 - July 25, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 11, 2011 - July 25, 2012
TD AMERITRADE, INC.
March 29, 2011 - July 25, 2012
TD AMERITRADE, INC.
March 28, 2006 - November 8, 2010
V. M. MANNING & CO., INC.
December 13, 2005 - March 14, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 13, 2005 - March 14, 2006
OSAIC FA, INC.
October 11, 2001 - March 29, 2004
V. M. MANNING & CO., INC.
March 7, 2001 - October 25, 2001
SCOTT & STRINGFELLOW, LLC
March 20, 1998 - March 7, 2001
EDGAR M. NORRIS & CO., INC.
January 26, 1998 - February 6, 1998
GRUNTAL & CO., L.L.C.
October 13, 1997 - January 30, 1998
HAMPSHIRE SECURITIES CORPORATION
December 20, 1996 - October 20, 1997
V. M. MANNING & CO., INC.
August 23, 1996 - December 5, 1996
MORGAN STANLEY DW INC.
May 17, 1988 - September 27, 1996
FINANCIAL SQUARE PARTNERS
September 25, 1985 - June 20, 1988
KUHNS BROTHERS & LAIDLAW, INC.
June 18, 1985 - September 10, 1985
WEAVER JOHNSON & COMPANY,INC.
March 7, 1985 - July 9, 1985
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
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 55
Date: 7/25/1998
Limited Representative-Equity Trader ExamCurrent Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BILITER, DAVID LEE | DIRECTOR, PRESIDENT | 1690995 |
| CECE, MARY | SECRETARY | 2135583 |
| LONGEST, MICHAEL LEE | DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY | 6692593 |
| MARRONE, MARK STEPHEN | CHIEF COMPLIANCE OFFICER | 1987907 |
| MCCALLUM, CHARLES FALCONER III | DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE | 2697260 |
| WALSH, WILLIAM JAMES | DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | 4883580 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | 4301352 |
Regulatory assets under management
| Total Number of Accounts | 6,706 |
| AUM (Assets Under Management) | $ 2,098,769,026 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 |
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.
