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KD

Kevin B. Davis

XMS CAPITAL PARTNERS
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 3101057
KD

Professional summary

Kevin Bryant Davis, CFP® is a registered financial professional currently at XMS CAPITAL PARTNERS, LLC located in Chicago, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1998. Kevin has worked at 11 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Bryant Davis's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2011

Experience

Current

July 18, 2024 - Present

XMS CAPITAL PARTNERS, LLC

Office #1: 321 N Clark Street Suite 2440, Chicago, IL 60654
BD
CRD#: 142871
Chicago, IL
Past

September 19, 2023 - June 17, 2024

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

August 28, 2019 - February 24, 2022

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTLAKE, TX
Past

June 12, 2013 - August 16, 2019

SALIENT CAPITAL ADVISORS, LLC

RIA
CRD#: 153914
HOUSTON, TX
Past

June 28, 2012 - August 16, 2019

SALIENT CAPITAL L.P.

BD
CRD#: 147912
HOUSTON, TX
Past

May 10, 2011 - June 25, 2012

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

May 21, 2009 - April 6, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

July 10, 2007 - May 4, 2009

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

April 16, 2002 - June 29, 2007

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

April 10, 2000 - April 17, 2002

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

September 4, 1998 - April 18, 2000

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(6/27/2025)
RR
California
(6/17/2025)
RR
Colorado
(6/26/2025)
RR
Connecticut
(9/23/2025)
RR
Delaware
(6/26/2025)
RR
Idaho
(6/26/2025)
RR
Illinois
(7/18/2024)
RR
Indiana
(8/11/2025)
RR
Kansas
(5/15/2025)
RR
Kentucky
(6/26/2025)
RR
Louisiana
(1/9/2025)
RR
Maryland
(7/15/2025)
RR
Massachusetts
(1/9/2025)
RR
Michigan
(5/14/2025)
RR
Mississippi
(6/26/2025)
RR
Nebraska
(6/25/2025)
RR
New Jersey
(7/11/2025)
RR
New York
(1/9/2025)
RR
North Carolina
(6/26/2025)
RR
Ohio
(5/21/2025)
RR
Oklahoma
(6/26/2025)
RR
Oregon
(5/22/2025)
RR
Pennsylvania
(5/16/2025)
RR
Rhode Island
(6/26/2025)
RR
South Carolina
(5/13/2025)
RR
Tennessee
(5/20/2025)
RR
Texas
(8/12/2025)
RR
Utah
(5/21/2025)
RR
Virginia
(1/9/2025)
RR
West Virginia
(6/9/2025)
RR
Wisconsin
(1/9/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/15/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/18/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/31/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/5/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

XC
XMS CAPITAL PARTNERS, LLC
XMS CAPITAL PARTNERS, LLC

CRD#: 142871 / SEC#: , 8-67502

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
321 N Clark Street Suite 2440, Chicago, IL 60654
Mailing Address
321 N Clark Street Suite 2440, Chicago, IL 60654
Phone number
(312) 262-5642
Established
Delaware since 09/22/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
XMS HOLDINGS LLCHOLDING COMPANY OWNER
BROMBACH, THEODORE JOSEPHMANAGING PARTNER1295389
DUDDLESTON, NICOLE LYNNACCOUNTING MANAGER AND FINOP6122496
SPENCE, JOHN FLINNMANAGING PARTNER, CHIEF COMPLIANCE OFFICER AND AML OFFICER2079237

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.

Company Information

XMS CAPITAL PARTNERS, LLC

CRD#: 142871Chicago, IL 60654

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