Kevin J. Jedlicka
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 Jedlicka was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 8 firms and has passed the 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
February 5, 2016 - September 7, 2017
CAPITAL PORTFOLIO MANAGEMENT, INC.
January 30, 2015 - February 1, 2016
CHAPIN, DAVIS
July 15, 2013 - February 4, 2015
BB&T SECURITIES, LLC
October 19, 2010 - July 16, 2013
CHAPIN, DAVIS
October 1, 2000 - November 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 31, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
July 30, 1997 - January 11, 2000
MORGAN STANLEY DW INC.
March 12, 1997 - March 19, 1997
ALEX. BROWN & SONS INCORPORATED
March 12, 1997 - July 22, 1997
GLOBAL FINANCIAL GROUP, 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
CAPITAL PORTFOLIO MANAGEMENT, INC.
CRD#: 29302 / SEC#: , 8-44225
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DYER, PATRICK VINCENT | PRESIDENT/COMMON STOCK SHAREHOLDER/CONTROL PERSON/CHIEF COMPLIANCE OFFICER | 1668143 |
| BATHURST, GERALD LEE | PREFERRED SHAREHOLDER - NON-VOTING | 4765994 |
| BURGSTINER, VIRGINIA L | PREFERRED SHAREHOLDER | |
| FRIES, LOUIS F. | PREFERRED SHAREHOLDER | 5688603 |
| MIDDLETON, STEVEN WEIHE | PREFERRED SHAREHOLDER | 4367629 |
| TAYLOR, LAVENA RUTH | PREFERRED SHAREHOLDER/NON-VOTING | 2579245 |
| BATHURST, ROSEMARY ANNE | PREFERRED SHAREHOLDER - NON-VOTING | 4765983 |
| EISWERT, MARY K | PREFERRED SHAREHOLDER | |
| MIDDLETON, KRISTIN W | PREFERRED SHAREHOLDER - NON VOTING | 4664838 |
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 15,800,000 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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