Kevin O. Anderson
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 Onslow Anderson was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1998. Kevin had worked at 8 firms and has passed the Series 63, Series 65 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2014 - November 14, 2017
FORESTERS EQUITY SERVICES, INC.
November 27, 2013 - November 3, 2014
REGAL INVESTMENT ADVISORS LLC
July 12, 2011 - December 31, 2013
ONYX WEALTH ADVISORS, INC.
July 12, 2011 - April 16, 2012
CAMBRIDGE LEGACY SECURITIES L.L.C.
October 25, 2010 - October 27, 2011
ADVANTAGE INVESTMENT MANAGEMENT
September 2, 2010 - September 2, 2010
OSAIC FS, INC.
August 12, 2010 - August 5, 2011
OSAIC FS, INC.
April 13, 2009 - August 3, 2010
BROOKSTONE CAPITAL MANAGEMENT LLC
December 14, 1999 - December 14, 2001
C. J. M. PLANNING CORP.
September 9, 1998 - December 7, 1999
C. J. M. PLANNING 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
