Robert K. Connors
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.
Robert Kevin Connors, who also goes by Kevin Connors, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2012 - July 18, 2014
GILFORD SECURITIES INCORPORATED
November 15, 2012 - November 26, 2012
AEGIS CAPITAL CORP.
August 17, 2012 - September 13, 2012
HFP CAPITAL MARKETS LLC
July 6, 2012 - August 17, 2012
OBSIDIAN FINANCIAL GROUP, LLC
August 23, 2004 - June 29, 2012
LAIDLAW & COMPANY (UK) LTD.
May 20, 1997 - August 23, 2004
SANDS BROTHERS & CO., LTD.
March 23, 1995 - May 8, 1997
AXIOM CAPITAL MANAGEMENT, INC.
October 1, 1990 - February 15, 1995
J.P. MORGAN SECURITIES LLC
May 23, 1985 - September 13, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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