Kevin M. Heal

ARGUS INVESTORS' COUNSEL

NEW YORK, NY 10006-2761

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CRD#: 1543466

Professional summary

Kevin Michael Heal is a registered financial advisor currently at ARGUS INVESTORS' COUNSEL, INC. located in New York, New York.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Kevin has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

CHICAGO LAND & TITLE, CHICAGO IL. PASSIVE INVESTOR IN A REAL ESTATE PARTNERSHIP. LESS THAN ONE HOUR PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Heal's CRS (Customer Relationship Summary).

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

April 29, 2019 - Present

ARGUS INVESTORS' COUNSEL, INC.

Office #1: 61 Broadway Suite 1910, New York, NY 10006-2761

RIA

CRD#: 106981

NEW YORK, NY

Past

April 26, 2018 - November 13, 2018

TRIAD SECURITIES CORP

CRD#: 11363

NEW YORK, NY

Past

June 9, 2015 - May 3, 2016

TRIAD SECURITIES CORP

CRD#: 11363

NEW YORK, NY

Past

November 9, 2012 - December 9, 2015

CALLAHAN FINANCIAL SERVICES, INC.

CRD#: 21344

New York, NY

Past

February 24, 2012 - November 1, 2012

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

BETHESDA, MD

Past

September 20, 2010 - February 17, 2012

COHEN & COMPANY CAPITAL MARKETS, LLC

CRD#: 144981

BETHESDA, MD

Past

August 18, 2009 - October 1, 2010

COHEN & COMPANY SECURITIES, LLC

CRD#: 104002

BETHESDA, MD

Past

March 16, 2009 - June 22, 2009

STERNE, AGEE & LEACH, INC.

CRD#: 791

MCLEAN, VA

Past

February 4, 2005 - January 5, 2009

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

MC LEAN, VA

Past

March 6, 1997 - March 23, 2001

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

November 25, 1991 - February 24, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 17, 1991 - December 2, 1991

INTERCAPITAL SECURITIES LLC

CRD#: 20004

JERSEY CITY, NJ

Past

March 15, 1991 - December 2, 1991

GARBAN CAPITAL MARKETS LLC

CRD#: 19738

JERSEY CITY, NJ

Past

April 19, 1988 - March 26, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARGUS INVESTORS' COUNSEL, INC.

ARGUS INVESTORS' COUNSEL INC | ARGUS RESEARCH COMPANY | ARGUS INVESTORS' COUNSEL, INC.

CRD#: 106981 / SEC#: 801-2423

RIA

Registered Investment Advisory firm - (12/16/1960 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(4/29/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/28/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/3/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/10/2005

General Securities Principal Examination

Current Firm

ARGUS INVESTORS' COUNSEL, INC.

ARGUS INVESTORS' COUNSEL INC | ARGUS RESEARCH COMPANY | ARGUS INVESTORS' COUNSEL, INC.

CRD#: 106981 / SEC#: 801-2423

RIA

Registered Investment Advisory firm - (12/16/1960 Approved)

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Contact information

Main Address

61 Broadway Suite 1910, New York, NY 10006-2761

Mailing Address

Phone number

(212) 425-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARGUS INVESTORS' COUNSEL, INC. (1/23/2025)

Regulatory assets under management

Total Number of Accounts	286
AUM (Assets Under Management)	$ 164,146,702

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kevin M. Heal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Heal's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD SECURITIES CORP

TRIAD SECURITIES CORP

CALLAHAN FINANCIAL SERVICES, INC.

COHEN & COMPANY SECURITIES, LLC

COHEN & COMPANY CAPITAL MARKETS, LLC

COHEN & COMPANY SECURITIES, LLC

STERNE, AGEE & LEACH, INC.

BNP PARIBAS SECURITIES CORP.

DEUTSCHE BANK SECURITIES INC.

UBS FINANCIAL SERVICES INC.

INTERCAPITAL SECURITIES LLC

GARBAN CAPITAL MARKETS LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ARGUS INVESTORS' COUNSEL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/2019

Series 63

Date: 2/3/2005

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1988

Series 24

Date: 2/10/2005

Current Firm

ARGUS INVESTORS' COUNSEL, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARGUS INVESTORS' COUNSEL, INC.

TRUST BUT VERIFY

Contact information

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