Kevin S. Mathes
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 Scott Mathes, who also goes by Kevin Mathes, 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 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2020 - November 25, 2022
SECURITIES AMERICA, INC.
September 27, 2011 - November 29, 2022
MFG INVESTMENTS, LLC
August 3, 2011 - September 18, 2020
SECURITIES SERVICE NETWORK, LLC
September 15, 2008 - August 8, 2011
ALLSTATE FINANCIAL SERVICES, LLC
April 28, 2008 - August 28, 2008
PNC WEALTH MANAGEMENT LLC
April 24, 2008 - August 28, 2008
PNC WEALTH MANAGEMENT LLC
July 24, 2007 - September 19, 2008
MFG INVESTMENTS, LLC
April 16, 2001 - December 31, 2006
MEDFORD FINANCIAL GROUP
July 3, 1996 - June 4, 2007
SECURITIES SERVICE NETWORK, LLC
May 4, 1995 - June 19, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 15, 1994 - February 6, 1995
NETWORK 1 FINANCIAL SECURITIES INC.
August 5, 1994 - September 9, 1994
WESTFIELD FINANCIAL CORPORATION
March 9, 1993 - August 26, 1994
HIBBARD BROWN & CO., INC.
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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
