KO
Kevin R. Oarr
QUINT CAPITAL
Greenwich, CT
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CRD#: 1342904
KO
Professional summary
Kevin Royce Oarr is a registered financial advisor currently at QUINT CAPITAL CORPORATION located in Greenwich, Connecticut.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Kevin has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Royce Oarr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Royce Oarr's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 30, 2017 - Present
QUINT CAPITAL CORPORATION
RIA
BD
CRD#: 26586
Greenwich, CT
Current
June 28, 2017 - Present
QUINT CAPITAL CORPORATION
Office #1: 230 Park Ave - 361w, New York, NY 10169Office #2: 230 Park Ave - 361w, New York, NY 10169RIA
BD
CRD#: 26586
NEW YORK, NY
Past
January 18, 2017 - June 5, 2017
KYUR, INC.
RIA
CRD#: 284721
GREENWICH, CT
Past
March 16, 2011 - January 18, 2017
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
STAMFORD, CT
Past
September 16, 2008 - January 18, 2017
OPPENHEIMER & CO. INC.
BD
CRD#: 249
STAMFORD, CT
Past
July 15, 1993 - October 1, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WHITE PLAINS, NY
Past
January 11, 1991 - July 20, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 21, 1985 - January 23, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/28/2017)
RR
Connecticut(6/28/2017)
IAR
Connecticut(11/30/2017)
RR
Florida(6/28/2017)
RR
New York(6/28/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave - 361w, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-5090
Established
Florida since 05/28/1989
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16
SEC notice filing (8 States and Territories)
FINRA licenses (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 98 |
| AUM (Assets Under Management) | $ 162,105,666 |
Disclosures
| Regulatory Event | 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.
