Kevin O. Nugent

SPECTRUM ASSET MANAGEMENT

Stamford, CT 06905

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CRD#: 1555933

Professional summary

Kevin Obrien Nugent is a registered financial advisor currently at SPECTRUM ASSET MANAGEMENT, INC. located in Stamford, Connecticut and SAMI BROKERAGE LLC located in Stamford, Connecticut.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kevin has worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 3, Series 7, Series 4 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.

Portfolio manager for Spectrum Asset Management, Inc. ("Spectrum") SAMI Brokerage LLC ("SAMI") is a wholly owned direct subsidiary of Spectrum and is the executing broker for Spectrum. I select securities for purchase/sale in Spectrum client portfolios, oversee portfolio construction and place trade orders for same.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Obrien Nugent'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

March 6, 2019 - Present

SPECTRUM ASSET MANAGEMENT, INC.

Office #1: 2 High Ridge Park, Stamford, CT 06905

RIA

CRD#: 300463

Stamford, CT

Current

June 15, 2022 - Present

SAMI BROKERAGE LLC

Office #1: 2 High Ridge Park 2nd Floor, Stamford, CT 06905

CRD#: 18217

Stamford, CT

Past

August 13, 2012 - April 11, 2019

SAMI BROKERAGE LLC

RIA

CRD#: 18217

STAMFORD, CT

Past

August 17, 2001 - January 7, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 19, 1999 - September 21, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 25, 1998 - April 21, 1999

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

July 31, 1993 - August 27, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 16, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 21, 1992 - April 20, 1993

RED ROCK TRADING INTERNATIONAL LTD.

CRD#: 29603

Past

April 10, 1989 - June 6, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 16, 1987 - September 2, 1988

MF GLOBAL INC.

CRD#: 6731

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".

SPECTRUM ASSET MANAGEMENT, INC.

PRINCIPAL GLOBAL INVESTORS DBA PRINCIPAL ASSET MANAGEMENT | SPECTRUM ASSET MANAGEMENT, INC.

CRD#: 300463 / SEC#: 801-30405

RIA

Registered Investment Advisory firm - (9/28/1987 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
(3/6/2019)

IAR

Texas
(4/11/2023)

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: 6/8/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 6/14/2022

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 4/21/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/8/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/22/1992

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SPECTRUM ASSET MANAGEMENT, INC.

PRINCIPAL GLOBAL INVESTORS DBA PRINCIPAL ASSET MANAGEMENT | SPECTRUM ASSET MANAGEMENT, INC.

CRD#: 300463 / SEC#: 801-30405

RIA

Registered Investment Advisory firm - (9/28/1987 Approved)

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Contact information

Main Address

2 High Ridge Park, Stamford, CT 06905

Mailing Address

Phone number

(203) 322-0189

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPECTRUM FORM ADV PART 2 MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 19,682,004,203

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.

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Firm Stability Insights

Kevin O. Nugent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Obrien Nugent's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAMI BROKERAGE LLC

SAMI BROKERAGE LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

RED ROCK TRADING INTERNATIONAL LTD.

LEHMAN BROTHERS INC.

MF GLOBAL INC.

Primary Firm SEC Registration

SPECTRUM ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2010

Series 63

Date: 2/9/1993

Series 57TO

Date: 6/14/2022

SIE

Date: 4/21/2022

Series 3

Date: 10/8/2013

Series 7

Date: 10/18/1986

Series 4

Date: 10/22/1992

Series 24

Date: 4/8/1992

FINRA

Current Firm

SPECTRUM ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPECTRUM ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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