Kevin P. Cassidy
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.
Kevin Patrick Cassidy was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1994. Kevin had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2005 - November 3, 2006
THE CONCORD EQUITY GROUP, LLC
June 23, 2003 - July 10, 2003
LLOYD, SCOTT & VALENTI, LTD.
January 17, 2002 - April 4, 2002
NEWBRIDGE SECURITIES CORPORATION
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
August 13, 2001 - August 31, 2001
SSI SECURITIES CORP.
June 11, 1999 - August 14, 2000
LM CAPITAL SECURITIES, INC.
January 19, 1999 - May 17, 1999
THE CAMELOT GROUP, INC.
January 28, 1997 - July 29, 1997
THE HAMILTON-SHEA GROUP, INC.
July 15, 1994 - December 17, 1996
BILTMORE SECURITIES, INC.
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
THE CONCORD EQUITY GROUP, LLC
CRD#: 14569 / SEC#: , 8-35226
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
| Bond | 1 |
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.
