Kevin M. Klus
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 Michael Klus was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1991. Kevin had worked at 9 firms and has passed the Series 65, Series 63, Series 55, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2008 - November 27, 2013
DE ROUTE
June 2, 2005 - September 27, 2007
APEX CLEARING CORPORATION
November 1, 2004 - June 15, 2005
TD AMERITRADE, INC.
March 26, 1999 - December 31, 2002
UBS CAPITAL MARKETS L.P.
November 6, 1997 - March 24, 1999
CHARLES SCHWAB & CO., INC.
April 25, 1997 - October 9, 1997
MORGAN STANLEY DW INC.
September 11, 1996 - December 20, 1996
WALDRON & CO., INC.
September 21, 1994 - April 6, 1995
COASTAL SECURITIES, INC.
February 25, 1991 - February 28, 1994
AMERIPRISE ADVISOR 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
Exams
Series 55
Date: 5/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
DE ROUTE
CRD#: 135981 / SEC#: , 8-66963
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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