KC
Kevin C. Conn
STATE STREET GLOBAL MARKETS
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 3222010
KC
Professional summary
Kevin Charles Conn, who also goes by Kevin Conn, is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin Conn
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Charles Conn'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®
NoneExperience
Current
May 1, 2017 - Present
STATE STREET GLOBAL MARKETS, LLC
Office #1: 601 Lexington Ave, New York, NY 10022BD
CRD#: 285852
NEW YORK, NY
Past
October 31, 2012 - May 1, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
NEW YORK, NY
Past
November 14, 2000 - October 23, 2012
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
UNIONDALE, NY
Past
February 7, 2000 - May 25, 2000
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
May 5, 1999 - December 9, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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(5/1/2017)
RR
Alaska(5/1/2017)
RR
Arizona(5/1/2017)
RR
Arkansas(5/1/2017)
RR
California(5/1/2017)
RR
Colorado(5/1/2017)
RR
Connecticut(5/1/2017)
RR
Delaware(5/1/2017)
RR
District of Columbia(5/1/2017)
RR
Florida(5/1/2017)
RR
Georgia(5/1/2017)
RR
Hawaii(5/1/2017)
RR
Idaho(5/1/2017)
RR
Illinois(5/1/2017)
RR
Indiana(5/1/2017)
RR
Iowa(5/1/2017)
RR
Kansas(5/1/2017)
RR
Kentucky(5/1/2017)
RR
Louisiana(5/1/2017)
RR
Maine(5/1/2017)
RR
Maryland(5/1/2017)
RR
Massachusetts(5/1/2017)
RR
Michigan(5/1/2017)
RR
Minnesota(5/1/2017)
RR
Mississippi(5/1/2017)
RR
Missouri(5/1/2017)
RR
Montana(5/1/2017)
RR
Nebraska(5/1/2017)
RR
Nevada(5/1/2017)
RR
New Hampshire(5/1/2017)
RR
New Jersey(5/1/2017)
RR
New Mexico(5/1/2017)
RR
New York(5/1/2017)
RR
North Carolina(5/1/2017)
RR
North Dakota(5/1/2017)
RR
Ohio(5/1/2017)
RR
Oklahoma(5/1/2017)
RR
Oregon(5/1/2017)
RR
Pennsylvania(5/1/2017)
RR
Puerto Rico(5/1/2017)
RR
Rhode Island(5/1/2017)
RR
South Carolina(5/1/2017)
RR
South Dakota(5/1/2017)
RR
Tennessee(5/1/2017)
RR
Texas(5/1/2017)
RR
Utah(5/1/2017)
RR
Vermont(5/1/2017)
RR
Virgin Islands(5/1/2017)
RR
Virginia(5/1/2017)
RR
Washington(5/1/2017)
RR
West Virginia(5/1/2017)
RR
Wisconsin(5/1/2017)
RR
Wyoming(5/1/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
SS
STATE STREET GLOBAL MARKETS, LLC
STATE STREET GLOBAL MARKETS, LLC | STATE STREET NEWCO, LLC
CRD#: 285852 / SEC#: , 8-69862
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Mailing Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Phone number
(617) 664-3619
Established
Delaware since 10/07/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT COMPANY | |
| BAMBINO, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 4237874 |
| CHARLAND, JOSEPH LEONARD | DIRECTOR | 5183891 |
| FISCHER, MARTIN ROBERT | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1692872 |
| FORTUNA, GREGORY PAUL | DIRECTOR | 3168105 |
| MAXHAM, DAVID GOULD | DIRECTOR | 6372664 |
| MCKEON, ROBERT A | DIRECTOR | 7638847 |
| MORGAN, DANIEL ROBERT | CHIEF EXECUTIVE OFFICER | 2743457 |
| SIGLAIN, TARYN ANN | DIRECTOR | 5163466 |
| SOR, LY | DIRECTOR | 7996223 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
Disclosures
| Regulatory Event | 4 |
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.
