Kevin D. Disano

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CRD#: 2273403

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 Daniel Disano, CIMA®, CPWA® was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1993. Kevin had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 51 and Series 24 exams.

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.

1) Beacon Pointe Advisors; Investment Related; 24 Corporate Plaza Dr. Suite 150, Newport Beach, CA 92660; RIA; Title- National Sales Manager; Start 9/15/2020; 160 Hrs/Mth; 160 During Securities Trading Hours; Responsible For Leading Business Development And Client Service Efforts For The Firm 2) Purshe Kaplan Sterling Investments; Investment-related; 80 State Street, Albany, NY, 12207; Registered Representative; 03/2021-Present; Approximately 10 hours/week, typically during trading hours.

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®

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2008-04-30

Expire date: 2024-03-31

Experience

Past

April 5, 2021 - January 2, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Metairie, LA

Past

December 10, 2020 - January 24, 2025

BEACON POINTE ADVISORS, LLC

RIA

CRD#: 119290

GLENVIEW, IL

Past

April 12, 2016 - May 13, 2019

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

April 15, 2015 - April 4, 2016

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

June 30, 2009 - April 17, 2015

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

May 2, 2005 - June 9, 2009

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

December 12, 2002 - April 8, 2005

MAN INVESTMENTS INC.

CRD#: 15770

NEW YORK, NY

Past

July 24, 2002 - October 25, 2002

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

July 21, 1993 - November 6, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 21, 1993 - November 6, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

IAR

Series 65

Date: 6/18/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/13/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/20/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/29/2017

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/7/2016

General Securities Principal Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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.

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Advisor Monitoring

Firm Stability Insights

Kevin D. Disano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BEACON POINTE ADVISORS, LLC

NUVEEN SECURITIES, LLC

NYLIFE DISTRIBUTORS LLC

ALPS DISTRIBUTORS, INC.

LAZARD ASSET MANAGEMENT SECURITIES LLC

MAN INVESTMENTS INC.

LOCORR DISTRIBUTORS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/18/2002

Series 63

Date: 6/18/2002

SIE

Date: 10/1/2018

Series 3

Date: 1/13/2003

Series 7

Date: 7/20/1993

Series 51

Date: 6/29/2017

Series 24

Date: 7/7/2016

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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