Kevin S. Kuntz
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 S. Kuntz, who also goes by Kevin Saunders Kuntz, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1969. Kevin had worked at 10 firms and has passed the Series 63, Series 7, Series 25, Series 000, Series 1, Series 12, Series 4, Series 14 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
October 1, 2000 - November 4, 2009
UPHOLD SECURITIES INC.
April 3, 1996 - March 5, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 21, 1986 - November 17, 1986
HAAS SECURITIES CORPORATION
December 10, 1979 - April 19, 1986
SBC WARBURG DILLON READ INC.
July 20, 1979 - January 5, 1980
PRUDENTIAL EQUITY GROUP, LLC
January 18, 1978 - July 15, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
December 10, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
February 6, 1975 - October 9, 1976
SEWARD SECURITIES CORP.
July 23, 1969 - February 9, 1975
CITIGROUP GLOBAL MARKETS INC.
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 25
Date: 5/18/2000
NYSE Trading Assistant ExaminationSeries 000
Date: 7/16/1969
General Securities Principal ExaminationSeries 1
Date: 7/16/1969
Registered Representative ExaminationSeries 12
Date: 10/1/2000
NYSE Branch Manager ExaminationCurrent Firm
UPHOLD SECURITIES INC.
CRD#: 34071 / SEC#: , 8-46202
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UPHOLD, INC. | PARENT | |
| SNYDER, CURTIS LEE JR | PRESIDENT & COO/CFO/CCO | 1885111 |
Disclosures
| Regulatory Event | 1 |
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.
