Kevin L. Lorenz
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 Lee Lorenz, who also goes by Kevin L Lorenz, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1996. Kevin had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2009 - September 9, 2015
CREDIT SUISSE SECURITIES (USA) LLC
January 12, 2009 - September 9, 2015
CREDIT SUISSE SECURITIES (USA) LLC
September 24, 2004 - January 27, 2009
UBS FINANCIAL SERVICES INC.
September 24, 2004 - January 27, 2009
UBS FINANCIAL SERVICES INC.
February 7, 1997 - September 28, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 1996 - September 28, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
