KM
Kevin S. Mccoy
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CRD#: 1884564
KM
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 Shawn Mccoy, who also goes by K Shawn Mccoy, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1989. Kevin had worked at 8 firms and has passed the Series 63, Series 65, Series 66, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
K Shawn Mccoy
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.
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®
NoneExperience
Past
January 30, 2012 - October 5, 2012
DMK ADVISOR GROUP, INC.
RIA
CRD#: 41067
PARKER, CO
Past
October 10, 2011 - October 5, 2012
DMK ADVISOR GROUP, INC.
BD
CRD#: 41067
LUTZ, FL
Past
April 27, 2009 - October 16, 2009
BRITEHORN SECURITIES
BD
CRD#: 36402
DENVER, CO
Past
January 15, 2008 - February 25, 2009
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
January 11, 2008 - February 25, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
Past
August 31, 2004 - June 29, 2007
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 31, 2004 - June 29, 2007
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
December 17, 2002 - June 29, 2007
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ALABASTER, AL
Past
March 19, 2002 - June 29, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 19, 2002 - June 29, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
April 5, 1989 - June 4, 1999
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 5, 1989 - June 4, 1999
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
DA
DMK ADVISOR GROUP, INC.
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
CRD#: 41067 / SEC#: 801-121389, 8-49279
RIA
Registered Investment Advisory firm - SEC (6/3/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Arkansas
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)California
Registered Investment Advisory firm - SEC (7/8/2021 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/15/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2005 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Maine
Registered Investment Advisory firm - SEC (9/5/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/15/2002 Terminated)Michigan
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (6/28/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New York
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Puerto Rico
Registered Investment Advisory firm - SEC (6/3/2021 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (10/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
DA
DMK ADVISOR GROUP, INC.
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
CRD#: 41067 / SEC#: 801-121389, 8-49279
RIA
Registered Investment Advisory firm - SEC (6/3/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Arkansas
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)California
Registered Investment Advisory firm - SEC (7/8/2021 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/15/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2005 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Maine
Registered Investment Advisory firm - SEC (9/5/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/15/2002 Terminated)Michigan
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (6/28/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New York
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Puerto Rico
Registered Investment Advisory firm - SEC (6/3/2021 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (10/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558
Mailing Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558
Phone number
(303) 470-5664
Established
Colorado since 04/30/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
42
SEC notice filing (34 States and Territories)
FINRA licenses (46 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DESAI, JANAK R | DIRECTOR | 6307455 |
| DOUGLAS, KELVIN RAY | DIRECTOR | 4723703 |
| MISRA, SUNIL DUTT | DIRECTOR/PRINCIPAL | 5617829 |
| PEREZ, JORGE RAMON | DIRECTOR | 2253547 |
| SCHWARTZ, HAROLD ALAN | CEO/PRINCIPAL | 841225 |
| BASKETT, ERIN ELAINE | CHIEF COMPLIANCE OFFICER | 4538604 |
| GALLIGAN, PETER B | FINOP | 1873304 |
| GROSMAN, BARRY JULIAN | DIRECTOR | 7967542 |
| KOHN, STEPHEN ALAN | MUNI PRINCIPAL | 1267211 |
| OHMAN, JOHN DAVID | ROP/CROP | 1059085 |
Regulatory assets under management
| Total Number of Accounts | 469 |
| AUM (Assets Under Management) | $ 84,480,870 |
Disclosures
| Regulatory Event | 5 |
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.
