Kevin R. Stanek

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CRD#: 3181466

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 Raymond Stanek was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1999. Kevin had worked at 8 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 12, 2016 - December 31, 2020

EQUATEX US INC

CRD#: 178524

NEW YORK, NY

Past

March 6, 2013 - April 22, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 1, 2009 - March 5, 2013

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 10, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 8, 2001 - July 10, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 16, 2000 - January 3, 2001

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

October 29, 1999 - December 21, 2000

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

July 13, 1999 - October 29, 1999

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

Past

March 10, 1999 - July 29, 1999

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/16/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/8/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 3/8/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 3/8/2024

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 3/8/2024

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/8/2024

General Securities Sales Supervisor - Options Module Examination

Current Firm

EQUATEX US INC

CRD#: 178524 / SEC#: , 8-69607

Terminated by SEC on 01/01/2021

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 10/21/2014

Firm type

Corporation

Fiscal year end

June

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
COMPUTERSHARE INC.	OWNER
MATTERA, RICHARD JOSEPH	FINOP, CFO	2246513
STANEK, KEVIN RAYMOND	PRESIDENT	3181466
TSOUNAKIS, IAKOVOS	CHIEF COMPLIANCE OFFICER	3259778

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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Advisor Monitoring

Firm Stability Insights

Kevin R. Stanek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

TD AMERITRADE, INC.

HAPOALIM SECURITIES USA, INC.

ROYCE INVESTMENT GROUP, INC.

CONTINENTAL BROKER-DEALER CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/1999

Series 7TO

Date: 3/8/2024

Series 79TO

Date: 3/8/2024

Series 99TO

Date: 3/8/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/9/1999

Series 24

Date: 3/8/2024

Series 10

Date: 3/8/2024

Series 9

Date: 3/8/2024

Current Firm

EQUATEX US INC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

EQUATEX US INC

TRUST BUT VERIFY

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