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KD

Kevin B. Dermody

Some features on this profile are disabled
CRD#: 2274661
KD

Professional summary

Kevin Berry Dermody 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 1992. Prior to being barred, Kevin had worked at 2 firms, which includes TOWER SQUARE SECURITIES INC., MONY SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

March 11, 1997 - June 28, 2001

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

December 1, 1992 - March 10, 1997

MONY SECURITIES CORPORATION

BD
CRD#: 4386
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
IAR
Series 65
Date: 12/2/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/12/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/27/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TS
TOWER SQUARE SECURITIES, INC.
TOWER SQUARE SECURITIES, INC. | TRAVELERS EQUITIES SALES, INC.

CRD#: 833 / SEC#: 801-50585, 8-13752

BD
Terminated by SEC on 11/08/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 01/31/1968
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FUND MANAGEMENT SERVICES PROGRAM DISCLOSURE BROCHURE (3/22/2013)
ADVISOR SELECT PROGRAM WRAP FEE BROCHURE (3/22/2013)
DISCLOSURE BROCHURE FOR THIRD PARTY PROGRAMS (3/22/2013)
MANAGER SELECT PREMIER WRAP FEE BROCHURE (3/22/2013)
MANAGER SELECT WRAP FEE BROCHURE (3/22/2013)
FUND SELECT/FUND SELECT PREMIER PROGRAMS DISCLOSURE BROCHURE (3/22/2013)

Direct owners and executive officers

NamePositionCRD#
PLAZA LLCDIRECT OWNER
AQUINO, VIRGELAN ERNESTOCHIEF COMPLIANCE OFFICER, BROKER DEALER2976229
CARRIER, ANDRE THEODORECHIEF OPERATIONS OFFICER2257728
COHN, MARC ALLANCHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER2464524
DWYER, JAMESVICE PRESIDENT, LICENSING AND REGISTRATION
FORGET, ELIZABETH MARYDIRECTOR2767945
HALPERIN, JEFFREY PAULANTI-MONEY LAUNDERING OFFICER2899327
LACEK, MICHAEL JCHIEF LEGAL OFFICER
MARKHAM, CRAIG WILLIAMPRESIDENT AND DIRECTOR1383638
MARTINEZ, JOHN GREGORYVICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL2210722
TORRES, ISAACSECRETARY

Disclosures

Regulatory Event10
Arbitration1
Bond2

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.

Company Information

TOWER SQUARE SECURITIES, INC.

CRD#: 833

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