Kevin J. Mainelli
Professional summary
Kevin Joseph Mainelli is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Joseph Mainelli's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2000 - Present
LUMENT SECURITIES, LLC
Office #1: 10 West Broad Street 8th Floor, Columbus, OH 43215November 27, 2017 - January 2, 2019
LANCASTER POLLARD & CO., LLC
July 1, 1999 - October 6, 2000
MOUNTAINVIEW SECURITIES, LLC
April 1, 1999 - May 19, 1999
BANC ONE CAPITAL MARKETS, INC.
February 18, 1994 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
September 20, 1988 - January 20, 1994
FIRSTIER SECURITIES, 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
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
Contact information
FINRA licenses (53 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 |
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.
