Maurice T. Kinney
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.
Maurice Thomas Kinney was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1970. Maurice had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2018 - January 9, 2026
VESTECH SECURITIES, INC.
April 21, 2017 - July 24, 2017
VESTECH SECURITIES, INC.
November 14, 2003 - July 27, 2016
OAKBRIDGE FINANCIAL SERVICES
June 23, 1993 - November 13, 2003
SMITH, MOORE & CO.
August 25, 1989 - June 10, 1993
PRUDENTIAL EQUITY GROUP, LLC
December 6, 1974 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
August 10, 1970 - December 29, 1974
STIFEL, NICOLAUS & COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 4/25/1970
Registered Representative ExaminationCurrent Firm
VESTECH SECURITIES, INC.
CRD#: 41409 / SEC#: , 8-49409
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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