Kevin E. Shaughnessy

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CRD#: 2148320

Professional summary

Kevin Eric Shaughnessy was barred by the FINRA 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 1991. Prior to being barred, Kevin had worked at 4 firms, which includes MEYERS POLLOCK ROBBINS INC., PENN CAPITAL FINANCIAL SERVICES INC., GRUNTAL & CO. L.L.C., HIBBARD BROWN & 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

October 26, 1995 - June 27, 1997

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436

NEW YORK, NY

Past

April 20, 1995 - October 24, 1995

PENN CAPITAL FINANCIAL SERVICES, INC.

CRD#: 10640

PITTSBURGH, PA

Past

May 13, 1992 - April 21, 1995

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

July 3, 1991 - April 29, 1992

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

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: 7/15/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/1/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/1996

General Securities Principal Examination

Current Firm

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436 / SEC#: , 8-11797

Cancelled by SEC on 06/20/2001

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 11/27/1963

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Red Flags

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Kevin E. Shaughnessy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MEYERS POLLOCK ROBBINS, INC.

PENN CAPITAL FINANCIAL SERVICES, INC.

GRUNTAL & CO., L.L.C.

HIBBARD BROWN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/1991

Series 7

Date: 7/1/1991

Series 24

Date: 11/21/1996

Current Firm

MEYERS POLLOCK ROBBINS, INC.

Contact information

Documents

Red Flags

Company Information

MEYERS POLLOCK ROBBINS, INC.

TRUST BUT VERIFY

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