Kevin Kappel
Professional summary
Kevin Kappel, who also goes by Kevin Bruce Kappel, is a registered financial professional currently at TRUIST SECURITIES, INC. located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Kappel's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2024 - Present
TRUIST SECURITIES, INC.
Office #1: 50 Hudson Yards Fl 69 & 70, New York, NY 10001December 4, 2020 - December 11, 2024
UBS SECURITIES LLC
December 11, 2018 - October 5, 2020
BNP PARIBAS SECURITIES CORP.
December 1, 1997 - September 28, 2018
CREDIT SUISSE SECURITIES (USA) LLC
January 31, 1996 - December 19, 1996
D. H. BLAIR & 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
(12/10/2024)
Exams
Series 52TO
Date: 4/26/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
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