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KE

Kevin J. Esval

VELOCITYHEALTH SECURITIES
Nashville, TN 37205
Some features on this profile are disabled
CRD#: 1787897
KE

Professional summary

Kevin James Esval is a registered financial professional currently at VELOCITYHEALTH SECURITIES, INC. located in Nashville, Tennessee.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2002. Kevin has worked at 2 firms and has passed the Series 63, Series 79TO, Series 62, Series 99TO, SIE, Series 7, Series 3, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin James Esval's CRS (Customer Relationship Summary).
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

July 8, 2005 - Present

VELOCITYHEALTH SECURITIES, INC.

Office #1: 95 White Bridge Road Suite 409, Nashville, TN 37205Office #2: 95 White Bridge Road Suite 409, Nashville, TN 37205
BD
CRD#: 134616
Nashville, TN
Past

September 10, 2002 - July 8, 2005

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
WHITE PLAINS, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/26/2022)
RR
District of Columbia
(8/20/2021)
RR
Florida
(9/15/2021)
RR
Georgia
(4/18/2022)
RR
Maryland
(7/21/2021)
RR
New York
(8/2/2021)
RR
North Carolina
(11/30/2021)
RR
Ohio
(7/29/2021)
RR
South Carolina
(11/29/2021)
RR
Tennessee
(7/13/2005)
RR
Virginia
(4/12/2022)
RR
Wisconsin
(4/18/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/9/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/17/1987
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/8/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VELOCITYHEALTH SECURITIES, INC.
VELOCITYHEALTH SECURITIES, INC.

CRD#: 134616 / SEC#: , 8-66848

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
95 White Bridge Road Suite 409, Nashville, TN 37205
Mailing Address
95 White Bridge Road Suite 409, Nashville, TN 37205
Phone number
(615) 352-9953
Established
Tennessee since 11/12/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VELOCITYHEALTH CAPITAL, INC.HOLDING COMPANY
ESVAL, KEVIN JAMESPRESIDENT/CCO/EXECUTIVE REP(11/2004)
GEORGE, KENNETH RONALDFINOP/CFO2643369

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.

Company Information

VELOCITYHEALTH SECURITIES, INC.

CRD#: 134616Nashville, TN 37205

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