Herbert I. Kay
Professional summary
Herbert Ivan Kay was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Herbert is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Herbert had worked at 7 firms, which includes DESERT GROWTH PARTNERS L.L.C., DMK ADVISOR GROUP INC., LPL FINANCIAL LLC, G. R. PHELPS & CO. INC., OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION, AMERICAN NETWORK SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2004 - January 10, 2006
DESERT GROWTH PARTNERS, L.L.C.
January 18, 2001 - November 5, 2004
DMK ADVISOR GROUP, INC.
April 10, 1995 - December 21, 2000
LPL FINANCIAL LLC
December 7, 1989 - February 22, 1995
G. R. PHELPS & CO., INC.
November 19, 1989 - December 18, 1989
OSAIC WEALTH, INC.
June 23, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 23, 1985 - July 6, 1987
AMERICAN NETWORK SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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