Lon R. Kavanaugh
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.
Lon Roy Kavanaugh JR was a registered financial professional .
Lon is a previously registered financial professional and started their career in finance in 1971. Lon had worked at 8 firms and has passed the Series 63, Series 7, Series 40 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2001 - December 8, 2003
FINACORP SECURITIES
September 8, 1995 - February 1, 2001
TDI, INCORPORATED
July 12, 1994 - May 15, 1995
LIBERTY CAPITAL MARKETS, INC.
January 7, 1987 - August 21, 1987
MCG PORTFOLIO MANAGEMENT CORP.
March 13, 1978 - July 20, 1979
LEGEL, BRASWELL SECURITIES CORP.
September 2, 1976 - August 2, 1978
HOFMANN, KAVANAUGH SECURITIES CORPORATION
February 9, 1976 - July 18, 1976
G. WEEKS & CO., INC.
November 2, 1971 - August 24, 1972
SELLERS INVESTMENT COMPANY, 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
Series 40
Date: 5/17/1976
Registered Principal ExaminationSeries 00
Date: 10/28/1971
General Securities Principal ExaminationCurrent Firm
FINACORP SECURITIES
CRD#: 41569 / SEC#: , 8-49494
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLUVION SECURITIES, LLC | SHAREHOLDER | 143623 |
| DAVIS, DANIEL JAY | GOVERMENT, AGENCY AND MONEY MARKET TRADING | 2193201 |
| HOLSTEAD, GEORGE B III | DIRECTOR, SALES AND TRADING | 2389943 |
| THE HARBOR BANK OF MARYLAND | SHAREHOLDER | |
| KIME, MIRAL EONHAH | COO - RISK MANAGER | 1754630 |
| LENSING, DAVID CASPER | PRESIDENT/CEO | 5103288 |
| LITWIN, ANDREW FRANK | CHIEF COMPLIANCE OFFICER/CCO | 2857571 |
| MCCOY, BRANDON LEE | MUNICIPAL TRADING | 2392972 |
| RIDER, SCOTT ALAN | GOVERNMENT, AGENCY AND MONEY MARKET TRADING | 3168094 |
| VAN ZANDT, ARIK KRISTIAN | CFO/FINOP | 5485082 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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