Kevin C. Mcgrath

NEEDHAM & COMPANY

New York, NY 10177

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CRD#: 2275963

Professional summary

Kevin Carroll Mcgrath is a registered financial advisor currently at NEEDHAM & COMPANY, LLC located in New York, New York.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kevin has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) Zanbato Inc.; Yes, investment related; 715 N Shoreline Blvd, Mountain View, CA 94043; Alternative Trading system for private companies; Capital Markets Advisory Committee member; Start date: May 2021; Hours/Month: less than 1 (10 hours per year); Hours during trading hours: 0; Advise Zanbato on product structure and development, six to eight committee members from broker-dealers on the platform. 2) Jimmy McGrath#7 Foundation; not investment related; 26 Captains Watch, Shelton, CT 06484; Non-Profit Foundation; President, Chief Executive Officer; Start date: November 2022; Hours/Month: 10; Hours during trading hours: 0; Manage and execute the foundation's mission statement, fundraising, selecting venues, identifying beneficiaries, and paying beneficiaries.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Carroll Mcgrath's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kevin Carroll Mcgrath's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 8, 2019 - Present

NEEDHAM & COMPANY, LLC

Office #1: 250 Park Avenue 10th Floor, New York, NY 10177

RIA

CRD#: 16360

New York, NY

Current

July 17, 2019 - Present

NEEDHAM & COMPANY, LLC

Office #1: 250 Park Avenue 10th Floor, New York, NY 10177

RIA

CRD#: 16360

New York, NY

Past

July 24, 2009 - July 16, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

New York, NY

Past

November 20, 2006 - June 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NEW YORK, NY

Past

November 17, 2006 - June 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NEW YORK, NY

Past

August 11, 2006 - November 30, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

November 2, 2000 - November 30, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 2, 1993 - November 10, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 17, 1993 - September 13, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772

RIA

Registered Investment Advisory firm - SEC (2/12/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/23/2019)

Alaska
(7/23/2019)

Arizona
(7/17/2019)

Arkansas
(7/17/2019)

California
(7/17/2019)

Colorado
(7/17/2019)

Connecticut
(7/17/2019)

Delaware
(7/30/2019)

District of Columbia
(7/17/2019)

Florida
(7/17/2019)

Georgia
(7/17/2019)

Hawaii
(7/25/2019)

Idaho
(7/17/2019)

Illinois
(7/17/2019)

IAR

Illinois
(8/8/2019)

Indiana
(7/24/2019)

Iowa
(7/17/2019)

Kansas
(7/17/2019)

Kentucky
(7/17/2019)

Louisiana
(7/17/2019)

Maine
(7/17/2019)

Maryland
(7/17/2019)

Massachusetts
(7/17/2019)

Michigan
(7/17/2019)

Minnesota
(7/17/2019)

Mississippi
(7/17/2019)

Missouri
(7/17/2019)

Montana
(7/17/2019)

Nebraska
(7/17/2019)

Nevada
(7/17/2019)

New Hampshire
(7/17/2019)

New Jersey
(7/17/2019)

New Mexico
(7/17/2019)

New York
(7/17/2019)

North Carolina
(7/17/2019)

North Dakota
(7/17/2019)

Ohio
(7/17/2019)

Oklahoma
(7/18/2019)

Oregon
(7/17/2019)

Pennsylvania
(7/17/2019)

Puerto Rico
(7/17/2019)

Rhode Island
(7/17/2019)

South Carolina
(7/23/2019)

South Dakota
(7/17/2019)

Tennessee
(7/17/2019)

Texas
(7/17/2019)

Utah
(7/17/2019)

Vermont
(7/17/2019)

Virgin Islands
(7/17/2019)

Virginia
(8/16/2019)

Washington
(7/22/2019)

West Virginia
(7/17/2019)

Wisconsin
(7/17/2019)

Wyoming
(7/17/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/28/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/14/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/6/2020

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772

RIA

Registered Investment Advisory firm - SEC (2/12/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

250 Park Avenue 10th Floor, New York, NY 10177

Mailing Address

250 Park Avenue 10th Floor, New York, NY 10177

Phone number

(212) 371-8300

Established

Delaware since 04/04/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

185

SEC notice filing (14 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEEDHAM HOLDINGS, LLC	MEMBER
IACOVONE, JACK JAMES	MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING	2877398
PRIOR, JOHN JOSEPH JR	MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC.	1076802
ABBRUZZESE, JAMES MICHAEL	MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES	2960715
FIORDALISO, ROBERT JOSEPH	MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER	2518397
LAUFER, DAVID MICHAEL	MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING	4336854
MALIK, ANDREW JOSEPH	MANAGING DIRECTOR, CHAIRMAN	317860
MALLOY, JOHN PATRICK	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	5322002
MALONEY, THOMAS ANTHONY	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	2386331
MERLINO, SALVATORE ANTHONY	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	4397078

Disclosures

Regulatory Event

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 C. Mcgrath

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Carroll Mcgrath's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kevin Carroll Mcgrath's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEEDHAM & COMPANY, LLC

J.P. MORGAN SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

NEEDHAM & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/1993

Series 63

Date: 6/9/1993

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 12/28/2005

Series 7

Date: 5/14/1993

Series 24

Date: 11/6/2020

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

NEEDHAM & COMPANY, LLC

Contact information

SEC notice filing (14 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEEDHAM & COMPANY, LLC

TRUST BUT VERIFY

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