Kevin P. Clariday

KEVIN CLARIDAY INVESTMENT ADVISOR

Dallas, TX

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CRD#: 3131668

Professional summary

Kevin Patrick Clariday is a registered financial advisor currently at KEVIN CLARIDAY INVESTMENT ADVISOR located in Dallas, Texas.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kevin has worked at 2 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

I OWN MARSH LANE GOLF CENTER 2308 MARSH LANE, CARROLLTON, TX, WHICH TAKES APPROXIMATELY 4 HOURS/MONTH DURING NON MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Clariday'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®

None

Experience

Current

January 29, 2018 - Present

KEVIN CLARIDAY INVESTMENT ADVISOR

RIA

CRD#: 139722

Dallas, TX

Past

May 1, 2006 - December 31, 2017

KEVIN CLARIDAY INVESTMENT ADVISOR

RIA

CRD#: 139722

DALLAS, TX

Past

December 16, 1998 - May 13, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DALLAS, TX

Past

December 2, 1998 - May 13, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DALLAS, TX

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(1/29/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/8/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/23/1998

General Securities Representative Examination

Current Firm

KEVIN CLARIDAY INVESTMENT ADVISOR

KEVIN CLARIDAY DBA KEVIN CLARIDAY INVESTMENT ADVISOR | KEVIN PATRICK CLARIDAY | KEVIN PATRICK CLAIRDAY | KEVIN CLARIDAY INVESTMENT ADVISOR

CRD#: 139722 / SEC#: 801-66344

RIA

Registered Investment Advisory firm - (11/3/2017 Terminated)

Texas

Registered Investment Advisory firm - (1/29/2018 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Dallas, TX

Mailing Address

Phone number

(972) 358-0673

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 21,300,000

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.

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Kevin P. Clariday

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Clariday's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEVIN CLARIDAY INVESTMENT ADVISOR

KEVIN CLARIDAY INVESTMENT ADVISOR

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/1998

Series 63

Date: 12/8/1998

Series 3

Date: 2/8/2005

Series 7

Date: 11/23/1998

Current Firm

KEVIN CLARIDAY INVESTMENT ADVISOR

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KEVIN CLARIDAY INVESTMENT ADVISOR

TRUST BUT VERIFY

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