KH
Kevin P. Harriman
NYLIFE DISTRIBUTORS LLC
Overland Park, KS 66211
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CRD#: 2464909
KH
Professional summary
Kevin Patrick Harriman is a registered financial professional currently at NYLIFE DISTRIBUTORS LLC located in Overland Park, Kansas.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1995. Kevin has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Patrick Harriman's 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®
NoneExperience
Current
February 26, 2014 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 6130 Sprint Parkway Suite 400, Overland Park, KS 66211BD
CRD#: 35350
Overland Park, KS
Past
November 8, 2012 - October 25, 2013
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
OVERLAND PARK, KS
Past
January 8, 2008 - December 31, 2009
SYNERGY INVESTMENT GROUP, LLC
RIA
CRD#: 46035
KANNAPOLIS, NC
Past
January 8, 2008 - May 2, 2011
JBS LIBERTY SECURITIES, INC.
BD
CRD#: 36179
KANSAS CITY, MO
Past
July 12, 2006 - March 22, 2007
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
OVERLAND PARK, KS
Past
March 9, 2005 - March 22, 2007
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
April 8, 2002 - February 2, 2005
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
July 20, 1999 - December 31, 2000
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
June 7, 1996 - January 21, 1999
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
April 25, 1996 - May 28, 1996
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
February 7, 1995 - March 25, 1996
DST SECURITIES, INC.
BD
CRD#: 8129
KANSAS CITY, MO
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
Kansas(2/26/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ND
NYLIFE DISTRIBUTORS LLC
NEW YORK LIFE INVESTMENT MANAGEMENT LLC | NYLIFE DISTRIBUTORS LLC | NYLIFE DISTRIBUTORS INC.
CRD#: 35350 / SEC#: , 8-46655
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
30 Hudson Street, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 22nd Floor, Jersey City, NJ 07302
Phone number
(201) 685-6220
Established
Delaware since 10/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC. | SHAREHOLDER - 100%-MEMBER | |
| AKKERMAN, JOHN WILLIAM | SENIOR MANAGING DIRECTOR, NYL INVESTMENTS INSTITUTIONAL SALES-ELECTED OFFICER | 2780712 |
| ANDREOLA, MICHAEL JOSEPH | DIRECTOR, COMPLIANCE AND SALES MATERIAL REVIEW - ELECTED OFFICER | 4302689 |
| BAIN, KAREN ANN | MANAGING DIRECTOR, TAX-ELECTED OFFICER | 6160313 |
| BARROS, JOSE NEPTALI JR | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR-ELECTED OFFICER | 3118930 |
| BENINTENDE, JACK ROBERT JR. | MANAGING DIRECTOR, INDEX IQ - ELECTED OFFICER | 7714943 |
| CRUZ, DAVID NMN | SENIOR MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 2560569 |
| GAMBLE, MICHAEL ADAM | MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 7536233 |
| GOLDSTEIN, ANDREW PHILLIP | MANAGING DIRECTOR, FIELD OPERATIONS VALUE STREAM AGENCY WHOLESALE-ELECTED OFFICER | 5103842 |
| HANSEN, MARTA SOFIA | DIRECTOR(OFFICER), CFO, FINOP, TREASURER, PRINCIPAL OPS OFFICER-ELECTED OFFICER | 4899589 |
| HARTE, FRANCIS MICHAEL | SENIOR MANAGING DIRECTOR-ELECTED OFFICER | 1976402 |
| HOWARD, LINDA MARIE | DIRECTOR AND CHIEF COMPLIANCE OFFICER, AML OFFICER AND OFFICE OF FOREIGN ASSETS CONTROL OFFICER-ELECTED OFFICER | 2822341 |
| LEHNEIS, KIRK CHRISTOPHER | SENIOR MANAGING DIRECTOR, CHAIRMAN OF THE BOARD-ELECTED OFFICER | 6773807 |
| LONG, HARRY SCOTT | DIRECTOR, INSURANCE SOLUTIONS-RETAIL LIFE-ELECTED OFFICER | 2029580 |
| MEADE, COLLEEN ANNE | SECRETARY-ELECTED OFFICER | 5615089 |
| MICUCCI, ALISON HIERS | SENIOR MANAGING DIRECTOR, MACKAY SHIELDS INSTITUTIONAL SALES-ELECTED OFFICER | 2709298 |
| MILLAY, EDWARD PAUL | MANAGING DIRECTOR - ELECTED OFFICER | 7837443 |
| MISRA, MANALI SUDHIR | ASSISTANT GENERAL COUNSEL, ASSISTANT SECRETARY - ELECTED OFFICER | 8047340 |
| SABAL, CRAIG ANDREW | SENIOR MANAGING DIRECTOR, NYL INVESTORS INSTITUTIONAL SALES-ELECTED OFFICER | 4591702 |
| SHARRIER, ELIZABETH ANNE | ASSISTANT SECRETARY-ELECTED OFFICER | 2049186 |
| STRINGER, CHRISTOPHER RYAN | SENIOR MANAGING DIRECTOR, APOGEM CAPITAL INSTITUTIONAL SALES-ELECTED OFFICER | 5149663 |
| WICKWIRE, BRIAN DAVID | CHIEF OPERATING OFFICER, CONTROLLER, MANAGING DIRECTOR-ELECTED OFFICER | 4332103 |
Disclosures
| Regulatory Event | 2 |
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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