Jeffrey R. Kay
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.
Jeffrey Reed Kay, who also goes by Jeffrey R Kay, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2013 - August 29, 2013
MOORS & CABOT, INC.
November 10, 2006 - February 7, 2013
INVESTORS CAPITAL CORP.
October 31, 2006 - November 10, 2006
INVESTACORP, INC.
November 19, 2003 - October 31, 2006
BOLTON GLOBAL CAPITAL
June 25, 2002 - November 20, 2003
METROPOLITAN LIFE INSURANCE COMPANY
June 25, 2002 - November 20, 2003
MSI FINANCIAL SERVICES, INC.
September 26, 1997 - July 1, 2002
BOLTON GLOBAL CAPITAL
June 24, 1993 - September 11, 1997
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
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
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
