Kevin J. Leahy

HEROLD ADVISORS

New York, NY 10022-7513

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CRD#: 1876741

Professional summary

Kevin John Leahy is a registered financial advisor currently at HEROLD ADVISORS, INC. located in New York, New York and HEROLD & LANTERN INVESTMENTS, INC. located in New York, New York.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Kevin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) LOCUST ADVISORY LLC. Oceanport, NJ. NOT BUSINESS INVESTMENT RELATED. CERTIFIED PUBLIC ACCOUNTING - ADVISORY. Chairman from October 2012. APPROX.10 HOURS/MONTH DEVOTED TO THIS BUSINESS, OF WHICH NONE ARE DURING SECURITIES TRADING HOURS. PROVIDING CONSULTING SERVICES TO CEOs RELATED TO STRATEGIC PLANNING AND BUSINESS PROCESS REENGINEERING. 2) MSL Galleries, LLC. Not investment related. Oceanport, NJ. Artist since 03/2011. Approximately 10 hours/month none of which are during securities trading hours. 3) HEROLD ADVISORS, INC. ( INVESTMENT RELATED), 805 THIRD AVE, NY NY 10022 UPDATE ADV AND BROCHURES (PART II), UPDATE CONTRACTS, SPEND APPROXIMATELY 1 HOUR PER MONTH WHICH ARE DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin John Leahy'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

October 11, 2021 - Present

HEROLD ADVISORS, INC.

Office #1: 845 Third Avene Suite 1703, New York, NY 10022-7513

RIA

CRD#: 105090

New York, NY

Current

November 2, 2020 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 845 Third Avenue Suite 1703, New York, NY 10022

CRD#: 30996

New York, NY

Past

June 21, 2013 - November 5, 2020

BERNARD HEROLD & CO., INC.

CRD#: 6193

NEW YORK, NY

Past

September 22, 1988 - June 21, 2011

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEROLD ADVISORS, INC.

CRD#: 105090 / SEC#: 801-11216

RIA

Registered Investment Advisory firm - (1/2/1976 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New Jersey
(11/2/2020)

New York
(11/2/2020)

IAR

New York
(10/11/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/13/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 2/21/1989

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

HEROLD ADVISORS, INC.

CRD#: 105090 / SEC#: 801-11216

RIA

Registered Investment Advisory firm - (1/2/1976 Approved)

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Contact information

Main Address

845 Third Avene Suite 1703, New York, NY 10022-7513

Mailing Address

Phone number

(212) 371-3950

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HEROLD ADVISORS, INC. MANAGED ACCOUNT FIRM BROCHURE MARCH 2025 (3/31/2025)

HEROLD ADVISORS, INC. INDIVIDUAL INVESTMENT CONSULTING WRAP FEE ADVISORY PROGRAM BROCHURE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	523
AUM (Assets Under Management)	$ 489,697,335

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.

Contact information

xxxxx@xxxx.xxx

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Kevin J. Leahy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin John Leahy's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEROLD & LANTERN INVESTMENTS, INC.

BERNARD HEROLD & CO., INC.

PERSHING LLC

Primary Firm SEC Registration

HEROLD ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/2021

Series 63

Date: 11/23/1988

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1988

Series 24

Date: 11/14/1997

Series 27

Date: 2/21/1989

FINRA

Current Firm

HEROLD ADVISORS, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEROLD ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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