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KR

Kevin X. Reynolds

XMS CAPITAL PARTNERS
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 1436892
KR

Professional summary

Kevin Xavier Reynolds, who also goes by Kevin X Reynolds, Kevin X. Reynolds, Kevin Reynolds, is a registered financial professional currently at XMS CAPITAL PARTNERS, LLC located in Chicago, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1986. Kevin has worked at 13 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin X Reynolds | Kevin X. Reynolds | Kevin Reynolds

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Xavier Reynolds's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 30, 2023 - Present

XMS CAPITAL PARTNERS, LLC

Office #1: 321 N Clark Street Suite 2440, Chicago, IL 60654
BD
CRD#: 142871
Chicago, IL
Past

April 25, 2022 - September 27, 2022

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
Stamford, CT
Past

November 16, 2020 - April 25, 2022

ALDWYCH SECURITIES LLC

BD
CRD#: 167980
STAMFORD, CT
Past

August 3, 2015 - December 12, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

July 20, 2010 - July 9, 2015

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

April 15, 2009 - June 24, 2010

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

April 2, 1996 - November 17, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 13, 1996 - March 27, 1996

BCP SECURITIES, INC.

BD
CRD#: 27063
GREENWICH, CT
Past

November 22, 1994 - December 7, 1995

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

September 9, 1993 - June 22, 1994

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

October 11, 1992 - December 22, 1992

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

April 16, 1987 - May 23, 1989

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

February 19, 1986 - April 6, 1987

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(1/30/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

XC
XMS CAPITAL PARTNERS, LLC
XMS CAPITAL PARTNERS, LLC

CRD#: 142871 / SEC#: , 8-67502

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
321 N Clark Street Suite 2440, Chicago, IL 60654
Mailing Address
321 N Clark Street Suite 2440, Chicago, IL 60654
Phone number
(312) 262-5642
Established
Delaware since 09/22/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
XMS HOLDINGS LLCHOLDING COMPANY OWNER
BROMBACH, THEODORE JOSEPHMANAGING PARTNER1295389
DUDDLESTON, NICOLE LYNNACCOUNTING MANAGER AND FINOP6122496
SPENCE, JOHN FLINNMANAGING PARTNER, CHIEF COMPLIANCE OFFICER AND AML OFFICER2079237

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.

Company Information

XMS CAPITAL PARTNERS, LLC

CRD#: 142871Chicago, IL 60654

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