Kevin K. Handley
Professional summary
Kevin Koehler Handley is a registered financial professional currently at STONEX SECURITIES INC. located in Bristol, Rhode Island.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1989. Kevin has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Koehler Handley's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2024 - Present
STONEX SECURITIES INC.
April 27, 2017 - September 23, 2024
AGES FINANCIAL SERVICES, LTD.
December 1, 2001 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
November 4, 1999 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
June 18, 1999 - November 2, 1999
EQUITY SERVICES, INC.
April 1, 1991 - May 4, 1999
FISCO EQUITY, INC.
June 20, 1989 - March 22, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1989 - April 4, 1989
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2024)
(10/18/2024)
(10/16/2024)
(10/16/2024)
(10/16/2024)
(11/13/2024)
Exams
FINRA
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
