Kevin M. Daley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Michael Daley was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1988. Kevin had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2012 - May 2, 2019
VINING-SPARKS IBG, LLC
July 11, 2011 - November 30, 2011
WSA FIXED INCOME, LLC
January 7, 2005 - June 3, 2011
FHN FINANCIAL SECURITIES CORP.
May 24, 1994 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 19, 1992 - April 4, 1994
SANWA UNIVERSAL SECURITIES CO., LLC
May 18, 1990 - April 4, 1994
SANWA SECURITIES (USA) CO., L.P.
September 20, 1989 - May 23, 1990
INTL FCSTONE PARTNERS L.P.
March 31, 1988 - May 9, 1989
LLOYDS GOVERNMENT SECURITIES CORPORATION
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
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
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.
