Kevin Joseph Mainelli
Professional Summary
Kevin Joseph Mainelli is a registered financial advisor currently at LUMENT SECURITIES, LLC located in Columbus, Ohio. Kevin is registered as a RR (Registered Representative) and started their career in finance in 1988. Kevin has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 24, Series 27 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
LUMENT SECURITIES | RED CAPITAL MARKETS, LLC | RED CAPITAL MARKETS, INC. | PROVIDENT SECURITIES & INVESTMENT COMPANY | OREC SECURITIES, LLC | LUMENT SECURITIES, LLC
Contact Information
Main Address
10 West Broad Street 8th Floor, Columbus, OH 43215Mailing Address
10 West Broad Street 8th Floor, Columbus, OH 43215Phone Number
(614) 857-1600Established
Delaware since 05/06/2010Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | — |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/31/2022)
(2/6/2001)
(2/11/2014)
(2/11/2014)
(2/11/2014)
(10/10/2000)
(2/11/2014)
(2/11/2014)
(10/10/2000)
(2/11/2014)
(2/11/2014)
(2/11/2014)
(2/11/2014)
(2/11/2014)
(3/1/2022)
(11/3/2020)
(2/11/2014)
(11/30/2001)
(3/10/2022)
(2/6/2001)
(2/11/2014)
(10/10/2000)
(2/11/2014)
(2/11/2014)
(2/11/2014)
(3/16/2022)
(3/9/2022)
(10/10/2000)
(2/11/2014)
(2/7/2019)
(10/11/2000)
(2/11/2014)
(2/11/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kevin Joseph Mainelli's CRS (Customer Relationship Summary).
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