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KD

Kevin P. Diamond

SEACAP SECURITIES LLC
Chicago, IL 60603
Some features on this profile are disabled
CRD#: 2726695
KD

Professional summary

Kevin Patrick Diamond is a registered financial professional currently at SEACAP SECURITIES LLC located in Chicago, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Patrick Diamond's 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

August 2, 2017 - Present

SEACAP SECURITIES LLC

Office #1: 10 South Lasalle Street Suite 2310, Chicago, IL 60603
BD
CRD#: 133994
Chicago, IL
Past

September 11, 2007 - June 23, 2017

TWG SECURITIES, INC.

BD
CRD#: 143626
CHICAGO, IL
Past

August 24, 2006 - September 27, 2007

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL
Past

April 16, 1996 - July 31, 2006

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL

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
Illinois
(9/5/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 5/20/1996
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: 4/15/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/26/1997
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/13/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SEACAP SECURITIES LLC
FIRST PRINCIPLE SECURITIES, LLC | SEACAP SECURITIES LLC

CRD#: 133994 / SEC#: , 8-66804

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

Main Address
152 W 57th Street 53rd Floor, New York, NY 10019
Mailing Address
152 W 57th Street 53rd Floor, New York, NY 10019
Phone number
(212) 284-1150
Established
Delaware since 12/20/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
M. CHAN & ASSOCIATES, INC.MEMBER
SEACAP HOLDINGS LLCMEMBER
CHAN, MARGARET LCEO, CCO & PRINCIPAL707456
MARRONE, MICHAEL THOMASFINOP4859949

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

SEACAP SECURITIES LLC

CRD#: 133994Chicago, IL 60603

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