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Kevin John O'keefe

CRD# 2757357·Registered 1996 - 2014
Previously Registered: Being a previously registered professional could mean that Kevin 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.

Professional Summary

Kevin John O'keefe, who also goes by Kevin Hansen, Kevin John Okeefe, was a registered financial advisor. Kevin was a previously registered financial professional and started their career in finance 1996 - 2014. Kevin had worked at 6 firms and has passed the Series 63, Series 65, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kevin Hansen, Kevin John Okeefe

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

FOREFRONT CAPITAL MARKETS LLC·CRD# 151812
BD
New York, NY
January 16, 2013 - September 11, 2014
PERFORMANCE TRUST CAPITAL PARTNERS, LLC·CRD# 36155
BD
Chicago, IL
October 12, 2011 - December 20, 2012
CIBC WORLD MARKETS CORP.·CRD# 630
RIA
New York, NY
January 24, 2001 - October 25, 2002
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
January 8, 2001 - October 25, 2002
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
January 11, 1999 - January 22, 2001
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
October 20, 1997 - January 12, 1999
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
July 24, 1996 - October 24, 1997

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Current Firm

FC
FOREFRONT CAPITAL MARKETS LLC

FOREFRONT CAPITAL MARKETS LLC

CRD#: 151812 / SEC#: 801-80131, 8-68402
BD
Terminated by SEC on 10/16/2015

Contact Information

Established

Delaware since 06/25/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

FOREFRONT CAPITAL MARKETS, LLC (7/23/2014)

Direct owners and executive officers

NamePositionCRD#
FOREFRONT CAPITAL HOLDINGS, LLCOWNER-SHAREHOLDER—
REIFLER, BRADLEY CARLCHIEF EXECUTIVE OFFICER1589414
WASITOWSKI, DAVID ALLANCHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER4187976

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2013About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1996About the Series 65 exam

Series 3 — National Commodity Futures Examination

Passed Feb 2014About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Oct 2011About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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