Kevin M. Farley
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.
Kevin Michael Farley was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1996. Kevin had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 14, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2009 - April 8, 2019
TWO SIGMA SECURITIES, LLC
June 11, 2004 - November 6, 2008
CITIGROUP GLOBAL MARKETS INC.
February 9, 2001 - May 25, 2004
NATIXIS SECURITIES AMERICAS LLC
May 28, 1999 - February 16, 2001
LAZARD FRERES & CO. LLC
April 4, 1997 - May 3, 1999
BROWNCO, LLC
January 7, 1997 - January 8, 1997
WINDSOR STREET CAPITAL, LP
June 26, 1996 - January 8, 1997
WINDSOR STREET CAPITAL, LP
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 55
Date: 2/26/2001
Limited Representative-Equity Trader ExamCurrent Firm
TWO SIGMA SECURITIES, LLC
CRD#: 148960 / SEC#: , 8-68090
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
Red Flags
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