Evan L. Kaye
Professional summary
Evan Lewis Kaye was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Evan is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Evan had worked at 2 firms, which includes CONTINENTAL BROKER-DEALER CORP., MILLENNIUM SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2000 - April 18, 2001
CONTINENTAL BROKER-DEALER CORP.
September 15, 2000 - December 20, 2000
MILLENNIUM SECURITIES CORP.
October 28, 1996 - June 14, 2000
MILLENNIUM SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
Red Flags
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