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KI

Kevin L. Ioannacci

Some features on this profile are disabled
CRD#: 1815874
KI

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 Lee Ioannacci, who also goes by Kevin L Ioannacci, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1989. Kevin had worked at 10 firms and has passed the Series 63, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin L Ioannacci

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 7, 2012 - June 28, 2012

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
CHICAGO, IL
Past

August 8, 2011 - March 5, 2012

WSA FIXED INCOME, LLC

BD
CRD#: 145544
CHICAGO, IL
Past

April 26, 2010 - May 4, 2011

INSPEREX LLC

BD
CRD#: 101420
CHICAGO, IL
Past

January 14, 2010 - April 22, 2010

ICBA SECURITIES

BD
CRD#: 24088
CHICAGO, IL
Past

November 21, 2008 - April 22, 2010

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
CHICAGO, IL
Past

October 25, 2005 - August 29, 2008

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
CHICAGO, IL
Past

October 26, 2004 - October 11, 2005

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
CHICAGO, IL
Past

October 7, 1993 - August 2, 2004

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 23065
CHICAGO, IL
Past

July 16, 1991 - October 13, 1993

WINGSPAN INVESTMENT SERVICES

BD
CRD#: 17516
CHICAGO, IL
Past

January 24, 1989 - July 8, 1991

LIT AMERICA, INC.

BD
CRD#: 22381
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/1/1992
Registered Options Principal Examination

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

CRD#: 149758 / SEC#: , 8-68186

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

Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

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