Kevin P. Mcguan

KEVIN P. MCGUAN

Long Beach, CA

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CRD#: 1686788

Professional summary

Kevin Patrick Mcguan is a registered financial advisor currently at KEVIN P. MCGUAN, LLC located in Long Beach, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Kevin has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 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.

I*92565 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: REAL ESTATE INVESTMENT INVESTMENT RELATED: Y ADDRESS OF BUSINESS: LONG BEACH, CALIFORNIA 90802 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/12/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: INVESTMENT REAL ESTATE COLLECT RENT Independent Insurance Agent; Investment-Related;Less than 5 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Mcguan's 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

February 8, 2018 - Present

KEVIN P. MCGUAN, LLC

RIA

CRD#: 291342

Long Beach, CA

Past

July 8, 1997 - August 10, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LONG BEACH, CA

Past

January 1, 1990 - August 10, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LONG BEACH, CA

Past

November 23, 1988 - December 5, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 31, 1987 - September 14, 1988

AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.

CRD#: 148

Past

June 19, 1987 - December 31, 1987

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

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

California
(2/8/2018)

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

Series 63

Date: 8/31/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/26/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/10/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KEVIN P. MCGUAN, LLC

KEVIN P. MCGUAN, LLC | MCGUAN, KEVIN P.

CRD#: 291342 / SEC#:

California

Registered Investment Advisory firm - (2/8/2018 Approved)

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Contact information

Main Address

Long Beach, CA

Mailing Address

Phone number

(562) 256-6079

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 25,000,000

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 P. Mcguan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Mcguan's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.

ADVANTAGE CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 8/31/1987

SIE

Date: 8/10/2017

Series 3

Date: 6/26/1989

Series 7

Date: 11/19/1988

Series 6

Date: 6/10/1987

Current Firm

KEVIN P. MCGUAN, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KEVIN P. MCGUAN, LLC

TRUST BUT VERIFY

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