Kevin P. Rast
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 Paul Rast was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 53, Series 10, Series 9 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
September 27, 2016 - December 14, 2018
CM ADVISORY, LLC
May 15, 2009 - October 1, 2019
CFG CAPITAL MARKETS, LLC
May 13, 1998 - July 3, 2008
FERRIS, BAKER WATTS, LLC
September 1, 1997 - March 18, 1998
DB ALEX. BROWN LLC
January 21, 1992 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
October 24, 1988 - January 13, 1992
FERRIS, BAKER WATTS, LLC
July 29, 1987 - October 24, 1988
BAKER, WATTS & 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
Series 55
Date: 4/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
CM ADVISORY, LLC
CRD#: 284486 / SEC#:
Contact information
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.
