Kevin J. Hanney
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 John Hanney, CIMA® was a registered financial advisor .
Kevin is a previously registered financial advisor and started their career in finance in 1993. Kevin had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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
March 29, 2019 - November 23, 2020
COMPASS SECURITIES CORPORATION
May 11, 2016 - March 16, 2017
PATRICK CAPITAL MARKETS, LLC
September 17, 2015 - May 23, 2016
AMERITAS INVESTMENT COMPANY, LLC
October 6, 2011 - September 30, 2013
MARINER GROUP CAPITAL MARKETS, LLC
February 7, 2008 - September 7, 2010
AST INVESTMENT SERVICES, INC.
January 24, 2008 - September 3, 2010
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 2, 1999 - January 4, 2008
PGIM INVESTMENTS LLC
March 23, 1999 - December 31, 2007
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 15, 1993 - January 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
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
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
