Kevin S. Rutherford
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 Stewart Rutherford was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1991. Kevin had worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 6, Series 10, Series 9, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2014 - May 9, 2022
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
January 6, 2014 - May 9, 2022
NYLIFE DISTRIBUTORS LLC
February 9, 2007 - December 2, 2013
THOMPSON DAVIS & CO., INC.
July 11, 2002 - December 2, 2013
THOMPSON DAVIS & CO., INC.
March 9, 2002 - April 22, 2002
RBC CAPITAL MARKETS, LLC
March 28, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
June 3, 1996 - March 28, 2001
BRANCH, CABELL & CO., INC.
September 10, 1993 - June 3, 1996
BOWLES HOLLOWELL CONNER & CO.
December 13, 1991 - October 21, 1993
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/20/1998
Limited Representative-Equity Trader ExamCurrent Firm
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
