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Devon Brooks Kitchens

CRD# 1891130·Registered 1995 - 2013
Previously Registered: Being a previously registered professional could mean that Devon 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.

Professional Summary

Devon Brooks Kitchens was a registered financial advisor. Devon was a previously registered financial professional and started their career in finance 1995 - 2013. Devon had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 6 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

WTS PROPRIETARY TRADING GROUP LLC·CRD# 148117
BD
New York, NY
March 22, 2011 - July 1, 2013
FIS BROKERAGE & SECURITIES SERVICES LLC·CRD# 104162
BD
Edison, NJ
April 28, 2008 - May 21, 2010
SPECTRUM TRADING, LLC·CRD# 132637
BD
New York, NY
April 25, 2006 - April 29, 2008
ICAPITAL MARKETS LLC·CRD# 5209
BD
Omaha, NE
June 18, 1996 - July 10, 1997
FORESTERS FINANCIAL SERVICES, INC.·CRD# 305
BD
Edison, NJ
June 7, 1995 - January 5, 1996

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Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: 8-67986
BD
Terminated by SEC on 03/06/2015

Contact Information

Established

Delaware since 07/09/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER—
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event

6

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1996About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jun 2008

Series 7 — General Securities Representative Examination

Passed Dec 2005About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 1995About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Nov 1996About the Series 24 exam

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CRS (Client Relationship Summary)

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

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