Kevin M. Fitzpatrick
Professional summary
Kevin Michael Fitzpatrick is a registered financial professional currently at STERN BROTHERS & CO. located in Drexel Hill, Pennsylvania.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1986. Kevin has worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Michael Fitzpatrick's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2024 - Present
STERN BROTHERS & CO.
January 17, 2023 - March 1, 2024
SAN BLAS SECURITIES LLC
October 7, 2019 - February 7, 2023
BLAYLOCK VAN, LLC
March 5, 2018 - October 10, 2019
IFS SECURITIES
June 29, 2017 - February 2, 2018
CANTOR FITZGERALD & CO.
May 29, 2012 - March 22, 2017
FHN FINANCIAL SECURITIES CORP.
June 30, 2011 - May 1, 2012
SCOTT & STRINGFELLOW, LLC
April 16, 2009 - July 20, 2011
VINING-SPARKS IBG, LLC
February 27, 2003 - April 7, 2009
BANC OF AMERICA SECURITIES LLC
May 17, 1996 - February 10, 2003
J.P. MORGAN SECURITIES LLC
May 20, 1986 - April 25, 1996
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2024)
(3/1/2024)
Exams
Series 52TO
Date: 3/1/2024
Municipal Securities Representative ExaminationFINRA
Current Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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