KN
Kevin M. Nevin
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CRD#: 2460059
KN
Professional summary
Kevin Mark Nevin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Kevin had worked at 14 firms, which includes DEMPSEY LORD SMITH LLC, COLONY PARK FINANCIAL SERVICES LLC., SANDLAPPER SECURITIES LLC, CAPITAL GUARDIAN WEALTH MANAGEMENT LLC, CAPITAL GUARDIAN LLC, VSR FINANCIAL SERVICES INC., PROSPERA FINANCIAL SERVICES INC., WALNUT STREET SECURITIES INC., AFG FINANCIAL SERVICES, LPL FINANCIAL LLC, CRI SECURITIES LLC, SECURIAN FINANCIAL SERVICES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin M Nevin
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 26, 2019 - February 2, 2021
DEMPSEY LORD SMITH, LLC
RIA
CRD#: 141238
Edina, MN
Past
May 21, 2019 - February 2, 2021
DEMPSEY LORD SMITH, LLC
BD
CRD#: 141238
Edina, MN
Past
January 16, 2015 - June 17, 2019
COLONY PARK FINANCIAL SERVICES LLC.
RIA
CRD#: 41534
Edina, MN
Past
January 2, 2015 - May 20, 2019
SANDLAPPER SECURITIES, LLC
BD
CRD#: 137906
Edina, MN
Past
March 3, 2011 - May 22, 2014
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
NAPLES, FL
Past
February 28, 2011 - May 22, 2014
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
ST LOUIS PARK, MN
Past
March 16, 2006 - February 25, 2011
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
ST LOUIS PARK, MN
Past
March 6, 2006 - February 25, 2011
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
ST LOUIS PARK, MN
Past
April 11, 2005 - March 6, 2006
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
DALLAS, TX
Past
November 15, 2002 - April 8, 2005
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
March 12, 2002 - October 31, 2002
AFG FINANCIAL SERVICES
RIA
CRD#: 113021
MINNETONKA, MN
Past
December 10, 2001 - August 9, 2002
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
October 13, 2000 - November 30, 2001
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
February 1, 1999 - October 13, 2000
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, MN
Past
February 1, 1999 - October 13, 2000
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
March 11, 1996 - December 11, 1998
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, MN
Past
March 11, 1996 - December 11, 1998
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
March 14, 1994 - March 8, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 14, 1994 - March 8, 1996
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DL
DEMPSEY LORD SMITH, LLC
1SOURCE | WRS | WEST COBB INVESTMENT GROUP | WEEKS RETIREMENT SOLUTIONS | WEALTH POINT ADVISORS NC | TIM COUCH PC CPA | THE HANEY COMPANY | THE DIAMOND GROUP INC. | STERN INVESTMENTS | SOUTHEAST ASSET MANAGEMENT | SHALIN FINANCIAL SERVICES, INC. | SC RETIREMENT PLANNING | S M SHAW | ROGER'S RETIREMENT READINESS ALLIANCE, LLC | RETIREMENT STRATEGY CONNECTION | RETIREMENT SOLUTIONS INC. | PREMIER TAX ADVISORS | PREFERRED FINANCIAL SOLUTIONS, LLC | PLUS POINT ADVISORS | PINPOINT FINANCIAL SERVICES, INC | PERRY GOSSETT INSURANCE | PARPARI ASSET MANAGEMENT INC. | OLNEY FINANCIAL | NEXSTONE FINANCIAL SOLUTIONS, INC | NATIC TAYLOR & CO LLC | MORGAN WEALTH MANAGEMENT | MICEL FINANCIAL, LLC | MARK MADDOX FINANCIAL | LYLES WEALTH MANAGEMENT | LEIGH FINANCIAL SERVICES | JLP INVESTMENTS INC | JESSE J GRIFFIN JR | INSURANCE WALA | ILLUMINATION FINANCIAL ADVISORS | HYDEPARK WEALTH ADVISORS | HOLLAND WEALTH MANAGEMENT | HN FINANCIAL GROUP | GRANDVIEW WEALTH MANAGEMENT | GIBSON RETIREMENT PLANNING | GERRELLS CPA | FRONT PAGE FINANCIAL ADVISORS, LLC | FRED ADAMS TAX | FOOTHILLS FINANCIAL STRATEGIES | FINANCIAL INTEGRITY GROUP | FALK WEALTH MANAGEMENT | EXCLUSIVE FINANCIAL STRATEGIES | ECKEL FINANCIAL | DEMPSEY, LORD, SMITH, LLC | DEMPSEY LORD SMITH, LLC | DEANS CONSULTING | CRESCENT WEALTH MANAGEMENT | CRESCENT WEALTH ADVISORS | CORNERSTONE FINANCIAL, LLC | CORE CAPITAL MARKETS, LLC | COPIA INVESTMENTS LLC | COOSA FINANCIAL PLANNING GEORGIA | COLABORATIVE INVESTMENT MANAGEMENT | CLAIR LORD JARRETT | CHARLES MURPHY INSURANCE | BROCK FINANCIAL SERVICES, INC. | BREEN FINANCIAL | BLANTON FINANCIAL GROUP | BENNETT & PORTER WEALTH MANAGEMENT & INSURANCE | BELMONT CAPTIAL ADVISORS | BAXTER INSURANCE AGENCY | AEGEUS FINANCIAL SOLUTIONS, INC. | ADAM SCOTT & ASSOCIATES | AAPT, LLC
CRD#: 141238 / SEC#: 801-108087, 8-67469
RIA
Registered Investment Advisory firm - SEC (7/25/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/20/2016 Terminated)Kentucky
Registered Investment Advisory firm - SEC (10/11/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/18/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (10/17/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Nevada
Registered Investment Advisory firm - SEC (10/31/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (10/4/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (10/4/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DL
DEMPSEY LORD SMITH, LLC
1SOURCE | WRS | WEST COBB INVESTMENT GROUP | WEEKS RETIREMENT SOLUTIONS | WEALTH POINT ADVISORS NC | TIM COUCH PC CPA | THE HANEY COMPANY | THE DIAMOND GROUP INC. | STERN INVESTMENTS | SOUTHEAST ASSET MANAGEMENT | SHALIN FINANCIAL SERVICES, INC. | SC RETIREMENT PLANNING | S M SHAW | ROGER'S RETIREMENT READINESS ALLIANCE, LLC | RETIREMENT STRATEGY CONNECTION | RETIREMENT SOLUTIONS INC. | PREMIER TAX ADVISORS | PREFERRED FINANCIAL SOLUTIONS, LLC | PLUS POINT ADVISORS | PINPOINT FINANCIAL SERVICES, INC | PERRY GOSSETT INSURANCE | PARPARI ASSET MANAGEMENT INC. | OLNEY FINANCIAL | NEXSTONE FINANCIAL SOLUTIONS, INC | NATIC TAYLOR & CO LLC | MORGAN WEALTH MANAGEMENT | MICEL FINANCIAL, LLC | MARK MADDOX FINANCIAL | LYLES WEALTH MANAGEMENT | LEIGH FINANCIAL SERVICES | JLP INVESTMENTS INC | JESSE J GRIFFIN JR | INSURANCE WALA | ILLUMINATION FINANCIAL ADVISORS | HYDEPARK WEALTH ADVISORS | HOLLAND WEALTH MANAGEMENT | HN FINANCIAL GROUP | GRANDVIEW WEALTH MANAGEMENT | GIBSON RETIREMENT PLANNING | GERRELLS CPA | FRONT PAGE FINANCIAL ADVISORS, LLC | FRED ADAMS TAX | FOOTHILLS FINANCIAL STRATEGIES | FINANCIAL INTEGRITY GROUP | FALK WEALTH MANAGEMENT | EXCLUSIVE FINANCIAL STRATEGIES | ECKEL FINANCIAL | DEMPSEY, LORD, SMITH, LLC | DEMPSEY LORD SMITH, LLC | DEANS CONSULTING | CRESCENT WEALTH MANAGEMENT | CRESCENT WEALTH ADVISORS | CORNERSTONE FINANCIAL, LLC | CORE CAPITAL MARKETS, LLC | COPIA INVESTMENTS LLC | COOSA FINANCIAL PLANNING GEORGIA | COLABORATIVE INVESTMENT MANAGEMENT | CLAIR LORD JARRETT | CHARLES MURPHY INSURANCE | BROCK FINANCIAL SERVICES, INC. | BREEN FINANCIAL | BLANTON FINANCIAL GROUP | BENNETT & PORTER WEALTH MANAGEMENT & INSURANCE | BELMONT CAPTIAL ADVISORS | BAXTER INSURANCE AGENCY | AEGEUS FINANCIAL SOLUTIONS, INC. | ADAM SCOTT & ASSOCIATES | AAPT, LLC
CRD#: 141238 / SEC#: 801-108087, 8-67469
RIA
Registered Investment Advisory firm - SEC (7/25/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/20/2016 Terminated)Kentucky
Registered Investment Advisory firm - SEC (10/11/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/18/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (10/17/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Nevada
Registered Investment Advisory firm - SEC (10/31/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (10/4/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (9/30/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (10/4/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
901 N Broad Street Suite 400, Rome, GA 30161
Mailing Address
901 N Broad Street Suite 400, Rome, GA 30161
Phone number
(706) 238-9575
Established
Georgia since 04/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
92
SEC notice filing (26 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,444 |
| AUM (Assets Under Management) | $ 580,450,609 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
