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KG

Kevin G. Gardner

LIFESCI CAPITAL
Boston, MA 02110
Some features on this profile are disabled
CRD#: 2704106
KG

Professional summary

Kevin Garrett Gardner, who also goes by Kevin G Gardner, is a registered financial professional currently at LIFESCI CAPITAL located in Boston, Massachusetts.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin G Gardner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Garrett Gardner's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 2, 2022 - Present

LIFESCI CAPITAL

Office #1: One International Place Suite 1400, Boston, MA 02110
BD
CRD#: 168404
Boston, MA
Past

February 21, 2012 - January 27, 2022

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
BOSTON, MA
Past

July 2, 2009 - January 5, 2012

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
BOSTON, MA
Past

July 17, 2000 - July 1, 2009

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
BOSTON, MA
Past

May 17, 1999 - July 25, 2000

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

February 9, 1996 - June 2, 1999

SEARLE & CO.

BD
CRD#: 13035
GREENWICH, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(2/2/2022)
RR
New York
(2/2/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/27/1997
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LC
LIFESCI CAPITAL
LIFESCI CAPITAL | LIFESCI CAPITAL, LLC

CRD#: 168404 / SEC#: , 8-69305

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1700 Broadway 40th Floor, New York, NY 10019
Mailing Address
1700 Broadway 40th Floor, New York, NY 10019
Phone number
(646) 597-6987
Established
New York since 03/14/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MCDONALD, ANDREW IANCHIEF EXECUTIVE OFFICER & OWNER4853168
RICE, MICHAEL YEHUDAPRESIDENT & OWNER1551556
BENDER, STEVEN CHRISTOPHERCFO/ FINOP2650187
EVERTTS, ADAM GERALDDOR - DIRECTOR OF RESERACH6240428
KARMIOL, MICHAEL BRETTHEAD OF CAPITAL MARKETS4264477
VISCO, GLENNCHIEF COMPLIANCE OFFICER2407619

Disclosures

Regulatory Event1

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.

Company Information

LIFESCI CAPITAL

CRD#: 168404Boston, MA 02110

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