Kevin M. Willies
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 Mark Willies was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1986. Kevin had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
January 28, 2015 - November 7, 2022
NOVEM GROUP
August 17, 2007 - October 22, 2021
AMERICAN PORTFOLIOS ADVISORS, INC
January 3, 2003 - November 10, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
September 3, 1997 - January 16, 2003
FFP SECURITIES, INC.
March 11, 1986 - September 23, 1997
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
NOVEM GROUP
CRD#: 158964 / SEC#: 801-72741
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
NOVEM GROUP
CRD#: 158964 / SEC#: 801-72741
Contact information
SEC notice filing (32 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 1,413,641,568 |
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.
