Kevin S. Pound
Professional summary
Kevin Scott Pound 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 advisor and started their career in finance in 1999. Prior to being barred, Kevin had worked at 2 firms, which includes POUND FINANCIAL LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2003 - December 31, 2010
POUND FINANCIAL, LLC
October 11, 2000 - September 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 1999 - September 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
No current employment
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.
