Kevin L. Maldonado
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 Louis Maldonado, who also goes by Kevin L Maldonado, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1996. Kevin had worked at 11 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 12, 2003 - October 5, 2004
PARKER FINANCIAL CORP.
July 3, 2001 - December 31, 2002
BERRY-SHINO SECURITIES, INC.
May 3, 2000 - August 1, 2001
BROADBAND CAPITAL MANAGEMENT, LLC
May 26, 1999 - April 28, 2000
OSCAR GRUSS & SON INCORPORATED
December 14, 1998 - May 12, 1999
SOLID ISG CAPITAL MARKETS, LLC
November 25, 1997 - October 9, 1998
MAY, DAVIS GROUP INC.
September 29, 1997 - November 13, 1997
MAIDSTONE FINANCIAL, INC.
May 22, 1997 - September 22, 1997
ALEX MOORE & COMPANY, INC.
July 16, 1996 - May 22, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
June 28, 1996 - July 16, 1996
INVESTORS ASSOCIATES, INC.
February 27, 1996 - March 21, 1996
J.W. BARCLAY & CO., 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
PARKER FINANCIAL CORP.
CRD#: 42140 / SEC#: , 8-49713
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILLENIUM CAPITAL TRADING LLC | SHAREHOLDER | |
| SUNSPOT HOLDING CORP. | SHAREHOLDER | |
| RIVERSO, RAFFAEL GIGLIO | SHAREHOLDER | 2022485 |
| ROMEU, ALFONSO L | COMPLIANCE OFFICER, CEO , AML OFFICER |
Disclosures
| Regulatory Event | 3 |
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.
