Kevin J. Amell
Professional summary
Kevin James Amell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Kevin had worked at 6 firms, which includes NATIONAL FINANCIAL SERVICES LLC, FIDELITY BROKERAGE SERVICES LLC, NATIONAL CLEARING CORP., BROWNCO LLC, CYGNET SECURITIES INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2001 - February 24, 2003
NATIONAL FINANCIAL SERVICES LLC
December 6, 1999 - February 24, 2003
FIDELITY BROKERAGE SERVICES LLC
September 22, 1997 - March 1, 1999
NATIONAL CLEARING CORP.
February 21, 1997 - September 24, 1997
BROWNCO, LLC
November 26, 1996 - March 5, 1997
CYGNET SECURITIES, INC.
July 20, 1995 - April 3, 1996
MORGAN STANLEY DW 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
Series 55
Date: 7/19/2001
Limited Representative-Equity Trader ExamCurrent Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
