Joseph R. Kavanagh
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.
Joseph Robert Kavanagh, who also goes by Joe Kavanaugh, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2003 - September 28, 2015
TRIDENT PARTNERS LTD.
October 30, 1997 - February 5, 2003
GLENN MICHAEL FINANCIAL, INC.
August 12, 1993 - November 10, 1997
GILFORD SECURITIES INCORPORATED
February 26, 1990 - July 24, 1993
A.J. MICHAELS & CO., LTD.
April 17, 1989 - June 21, 1990
SHELTER ROCK SECURITIES CORP.
August 18, 1988 - March 10, 1989
INVESTORS CENTER, INC.
March 19, 1985 - September 23, 1988
BLINDER, ROBINSON & 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
Current Firm
TRIDENT PARTNERS LTD.
CRD#: 41258 / SEC#: , 8-49342
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
