Kevin M. Putetti
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 Michael Putetti was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1995. Kevin had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2003 - September 30, 2020
DOWLING & PARTNERS SECURITIES LLC
August 15, 2001 - March 13, 2003
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
February 19, 1998 - August 14, 2001
DEUTSCHE IXE, LLC
December 23, 1997 - January 14, 1998
DEUTSCHE IXE, LLC
June 20, 1996 - December 19, 1997
NEBRASKA HUDSON COMPANY, INC.
November 16, 1995 - July 18, 1996
TP ICAP GLOBAL MARKETS AMERICAS LLC
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
Series 55
Date: 6/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
DOWLING & PARTNERS SECURITIES LLC
CRD#: 24746 / SEC#: , 8-35658
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOWLING CORPORATION | 100% OWNER | |
| BYRNE, THOMAS ARTHUR | PRESIDENT/CEO/EXECUTIVE REPRESENTATIVE | 1334509 |
| DOWLING, VERONICA ALVAREZ | CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER | 5166888 |
| HANLEY, JOSEPH PATRICK JR | HEAD TRADER | 3060247 |
| HILBIE, KRISTA ANN | CHIEF COMPLIANCE OFFICER | 1712680 |
| LENT, BRENNA SULLIVAN | MEMBER | 2399560 |
| NIXON, JON ALAN | FINOP | 4710715 |
Red Flags
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