Kevin D. Wanner
Professional summary
Kevin Donald Wanner was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Kevin had worked at 12 firms, which includes QUESTAR CAPITAL CORPORATION, WOODBURY FINANCIAL SERVICES INC., USALLIANZ SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., HOWARD WEIL INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, SUNAMERICA SECURITIES INC., ANCHOR NATIONAL FINANCIAL SERVICES INC., A. G. EDWARDS & SONS INC., EDWARD JONES, JOHN G. KINNARD AND COMPANY INCORPORATED, F & G SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2012 - December 10, 2015
QUESTAR CAPITAL CORPORATION
August 12, 2010 - December 19, 2012
WOODBURY FINANCIAL SERVICES, INC.
August 6, 2010 - December 19, 2012
WOODBURY FINANCIAL SERVICES, INC.
December 1, 2006 - August 11, 2010
QUESTAR CAPITAL CORPORATION
May 3, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
October 31, 2002 - April 14, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 22, 1999 - November 8, 2002
HOWARD WEIL INCORPORATED
October 30, 1998 - January 4, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 1992 - October 29, 1998
SUNAMERICA SECURITIES, INC.
April 30, 1991 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
July 17, 1990 - May 1, 1991
A. G. EDWARDS & SONS, INC.
June 15, 1989 - July 5, 1990
EDWARD JONES
January 24, 1989 - June 12, 1989
JOHN G. KINNARD AND COMPANY, INCORPORATED
January 1, 1988 - November 30, 1988
F & G SECURITIES, INC.
September 11, 1985 - January 4, 1988
WOODBURY FINANCIAL SERVICES, 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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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