Kevin R. Gillen
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 Robert Gillen was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2000. Kevin had worked at 4 firms and has passed the Series 7A and Series 25 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, 2003 - October 29, 2014
RAYMOND C. FORBES & CO., INC.
April 10, 2002 - October 13, 2003
OLSEN SECURITIES CORP.
October 29, 2001 - April 3, 2002
BOULDER INSTITUTIONAL SERVICES, LLC
October 1, 2000 - October 29, 2001
BOULDER SECURITIES CORP.
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 7A
Date: 4/30/2003
Floor Broker Representative ExamSeries 25
Date: 3/13/2000
NYSE Trading Assistant ExaminationCurrent Firm
RAYMOND C. FORBES & CO., INC.
CRD#: 33090 / SEC#: , 8-25064
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND C. FORBES GST TRUST FBO C. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO M. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO P.J. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO P.M. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO R. FORBES | SHAREHOLDER | |
| FORBES, MARIE-REGINA | PRESIDENT/FINOP/TREAS/CFO/COO; SHAREHOLDER | 2106108 |
| FORBES, PATRICIA MARY | CHIEF COMPLIANCE OFFICER; SROP/CROP; SECRETARY; SHAREHOLDER | 2241513 |
| FORBES, PATRICK JOSEPH | VICE PRESIDENT SHAREHOLDER | 1940215 |
Disclosures
| Regulatory Event | 3 |
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.
