Shirley A. Mckinney
Professional summary
Shirley Ann Mckinney was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shirley is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Shirley had worked at 5 firms, which includes GENEVA SECURITIESINC., H.J. MEYERS & CO. INC., WATERSTONE FINANCIAL GROUP INC., U.S. ADVISORS INC., GRAYSTONE NASH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 1995 - November 23, 1998
GENEVA SECURITIES,INC.
January 22, 1991 - November 8, 1995
H.J. MEYERS & CO., INC.
May 1, 1989 - January 1, 1991
WATERSTONE FINANCIAL GROUP, INC.
March 17, 1989 - May 11, 1989
U.S. ADVISORS, INC.
October 21, 1987 - January 25, 1989
GRAYSTONE NASH, INC.
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
Current Firm
GENEVA SECURITIES,INC.
CRD#: 16178 / SEC#: , 8-33477
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEFCO FINANCIAL GROUP, INC. | OWNER | |
| AUGUSTYN, BRIAN GERARD | VICE PRESIDENT, SALES - WEST DIVISION | 1438721 |
| BARR, ZENDA SYNSTEBY | VICE PRESIDENT, MUNICIPAL TRADING | 729157 |
| BRASER, DAVID VALEY | VICE PRESIDENT, MUNICIPAL TRADING | 817373 |
| EISENMENGER, RICHARD MICHAEL | CEO, DIRECTOR | 76637 |
| MAVES, CARL WILLIAM | VICE PRESIDENT, RETAIL TRADING | 323566 |
| MESSENGER, LEROY KENNETH | COO, CFO, DIRECTOR, SECRETARY/TREASURER | 815653 |
| ZUREK, JAMES KEITH | SROP/CROP | 824892 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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