Kevin O. Chessen
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 Orin Chessen, who also goes by Kevin Chessen, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1988. Kevin had worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7 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
December 6, 2002 - February 26, 2021
BTIG, LLC
July 8, 2002 - February 10, 2003
WILLIAMS TRADING LLC
October 1, 1997 - May 1, 2002
BANC OF AMERICA SECURITIES LLC
March 5, 1997 - October 1, 1997
MONTGOMERY SECURITIES
December 1, 1993 - February 13, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 1988 - September 28, 1993
S.G. WARBURG & CO. INC.
February 23, 1988 - February 7, 1989
NASH, WEISS & CO.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 4/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
