Kevin F. Fitzpatrick
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 Francis Fitzpatrick was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1991. Kevin had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2014 - February 13, 2024
PURSHE KAPLAN STERLING INVESTMENTS
July 8, 2002 - December 19, 2002
EAGLE STRATEGIES LLC
December 4, 1998 - December 11, 2013
NYLIFE SECURITIES LLC
April 21, 1994 - December 4, 1998
MONY SECURITIES CORPORATION
July 29, 1991 - October 26, 1993
METROPOLITAN LIFE INSURANCE COMPANY
July 29, 1991 - October 26, 1993
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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