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KG

Kevin P. Gibbons

TRIUMPH CAPITAL MARKETS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2382418
KG

Professional summary

Kevin Patrick Gibbons, CFA is a registered financial professional currently at TRIUMPH CAPITAL MARKETS, LLC located in Chicago, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1994. Kevin has worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Patrick Gibbons'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®
CFA

Chartered Financial Analyst

Experience

Current

April 1, 2024 - Present

TRIUMPH CAPITAL MARKETS, LLC

Office #1: 150 North Riverside Plaza, Suite 5200, Chicago, IL 60606
BD
CRD#: 327963
Chicago, IL
Past

July 15, 2019 - July 3, 2023

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
CHICAGO, IL
Past

November 25, 2014 - April 23, 2019

CAPITAL ONE SECURITIES, INC.

BD
CRD#: 44158
Chicago, IL
Past

June 1, 2010 - April 3, 2013

AMHERST SECURITIES GROUP, L.P.

BD
CRD#: 31141
CHICAGO, IL
Past

February 4, 2009 - June 7, 2010

HS & CO., INC.

BD
CRD#: 42612
CHICAGO, IL
Past

November 1, 2003 - February 15, 2007

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
CHICAGO, IL
Past

October 29, 1996 - November 1, 2003

HARRIS NESBITT CORP.

BD
CRD#: 7299
CHICAGO, IL
Past

February 1, 1995 - March 2, 1995

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

February 10, 1994 - February 1, 1995

KEMPER FINANCIAL SERVICES, INC.

BD
CRD#: 798

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(5/21/2024)
RR
Massachusetts
(8/22/2024)
RR
New York
(5/21/2024)
RR
North Carolina
(5/24/2024)
RR
Ohio
(5/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/24/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/1/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/23/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/9/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/19/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRIUMPH CAPITAL MARKETS, LLC
TRIUMPH CAPITAL MARKETS | TRIUMPH CAPITAL MARKETS, LLC

CRD#: 327963 / SEC#: , 8-71147

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
150 North Riverside Plaza Suite 5200, Chicago, IL 60606
Mailing Address
150 North Riverside Plaza Suite 5200, Chicago, IL 60606
Phone number
(312) 705-2788
Established
Delaware since 05/08/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRIUMPH CAPITAL MARKETS HOLDCO, LPSOLE MEMBER
COSIO, ROMMEL GOMEZCHIEF COMPLIANCE OFFICER2017788
GIBBONS, KEVIN PATRICKCHIEF EXECUTIVE OFFICER2382418
PORTNOFF, DAVID ROSSFINOP, PFO, POO2977967

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.

Company Information

TRIUMPH CAPITAL MARKETS, LLC

CRD#: 327963Chicago, IL 60606

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