Kevin P. Radigan
Professional summary
Kevin Patrick Radigan 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 1992. Prior to being barred, Kevin had worked at 7 firms, which includes AUERBACH POLLAK & RICHARDSON INC., LAIDLAW GLOBAL SECURITIES INC., MONITOR INVESTMENT GROUP INC., GILFORD SECURITIES INCORPORATED, REICH & CO. INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 1998 - December 14, 2001
AUERBACH, POLLAK & RICHARDSON INC.
July 29, 1996 - December 22, 1997
LAIDLAW GLOBAL SECURITIES, INC.
January 15, 1996 - July 25, 1996
MONITOR INVESTMENT GROUP, INC.
January 25, 1994 - January 18, 1996
GILFORD SECURITIES INCORPORATED
December 1, 1992 - January 24, 1994
REICH & CO., INC.
September 30, 1992 - December 1, 1992
REICH & CO., INC.
September 1, 1992 - October 16, 1992
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AUERBACH, POLLAK & RICHARDSON INC.
CRD#: 29824 / SEC#: , 8-44584
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUERBACH FINANCIAL GROUP INC. | PARENT COMPANY | |
| EVISION | SHAREHOLDER | |
| BARTELS, STANLEY LEONARD | DIRECTOR OF SYNDICATE | 1011749 |
| COHEN, LEWIS HOWARD | FINOP | 1678304 |
| CONSIDINE, MICHAEL PIERCE | EXECUTIVE VP | 2789726 |
| GEORGE, MARK | SENIOR VICE PRESIDENT-SROP/DB ALEX BROWN DIVISION | 1701125 |
| REGAN, HUGH | PRESIDENT, DIRECTOR | 1254114 |
| RICH, LOUIS J | MGN DIR TRADING | 375430 |
| SANDS, JOHN KEATING | CHAIRMAN, DIRECTOR | |
| YORKE, AARON JONES IV | DIRECTOR | 701412 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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