Kevin P. Brody

Some features on this profile are disabled

CRD#: 1912980

Professional summary

Kevin Patrick Brody was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Kevin had worked at 10 firms, which includes JOSEPH STEVENS & CO. INC., LCP CAPITAL CORP., SHAMROCK PARTNERS LTD, J.P. TURNER & COMPANY L.L.C., ARGENT SECURITIES INC., J.W. BARCLAY & CO. INC., GRUNTAL & CO. L.L.C., LEHMAN BROTHERS INC., COMMONWEALTH ASSOCIATES, A.S. GOLDMEN & CO. INC..

Question & Answer

Are you a "fiduciary"?

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.

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

November 21, 2000 - May 10, 2005

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

December 7, 1998 - November 24, 2000

LCP CAPITAL CORP.

CRD#: 14469

STATEN ISLAND, NY

Past

May 19, 1998 - January 20, 1999

SHAMROCK PARTNERS, LTD

CRD#: 23955

MEDIA, PA

Past

August 12, 1997 - May 18, 1998

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

April 21, 1997 - August 12, 1997

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Past

September 23, 1994 - April 21, 1997

J.W. BARCLAY & CO., INC.

CRD#: 23350

WOODBRIDGE, NJ

Past

February 9, 1993 - September 21, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

August 27, 1992 - February 12, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 31, 1991 - August 4, 1992

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

April 26, 1990 - January 8, 1991

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

March 19, 1990 - June 4, 1990

A.S. GOLDMEN & CO., INC.

CRD#: 23180

RED BANK, NJ

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

Series 63

Date: 4/20/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/25/1991

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 3/16/1990

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/12/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/2/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/28/1996

General Securities Principal Examination

Current Firm

JOSEPH STEVENS & CO., INC.

FABIO MIGLIACCIO | JOSEPH STEVENS & COMPANY, L.P. | JOSEPH STEVENS & COMPANY, INC. | JOSEPH STEVENS & CO., INC.

CRD#: 35459 / SEC#: , 8-46901

Terminated by SEC on 08/22/2008

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

New York since 10/12/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
MARKOWITZ, STEVEN ALAN	PRESIDENT/CHAIRMAN	1299315
SORBARA, JOSEPH	CHIEF EXECUTIVE OFFICER	1001403
CHUDNOFF, LINDA EPPOLITO	CHIEF COMPLIANCE OFFICER AND SENIOR REGISTERED OPTIONS PRINCIPAL	1332998
TINGOLI, MARIA	CHIEF FINANCIAL OFFICER	1598620

Disclosures

Regulatory Event	7
Arbitration	10

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin P. Brody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LCP CAPITAL CORP.

SHAMROCK PARTNERS, LTD

J.P. TURNER & COMPANY, L.L.C.

ARGENT SECURITIES, INC.

J.W. BARCLAY & CO., INC.

GRUNTAL & CO., L.L.C.

LEHMAN BROTHERS INC.

GRUNTAL & CO., L.L.C.

COMMONWEALTH ASSOCIATES

A.S. GOLDMEN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/20/1990

Series 7

Date: 3/25/1991

Series 62

Date: 3/16/1990

Series 10

Date: 4/12/2001

Series 9

Date: 4/2/2001

Series 24

Date: 6/28/1996

Current Firm

JOSEPH STEVENS & CO., INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JOSEPH STEVENS & CO., INC.

TRUST BUT VERIFY

Similar Advisors