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KM

Kevin J. Mccann

Some features on this profile are disabled
CRD#: 324988
KM

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 James Mccann was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1973. Kevin had worked at 13 firms and has passed the Series 63, Series 55 and Series 1 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)

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

November 2, 2009 - November 20, 2012

LEGEND TRADING, LLC

BD
CRD#: 150567
NEW YORK, NY
Past

March 31, 2009 - October 30, 2009

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

September 19, 2005 - December 19, 2006

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

February 4, 2002 - May 2, 2003

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

April 4, 1995 - January 8, 2002

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY
Past

May 10, 1990 - March 7, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 28, 1985 - May 1, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 14, 1984 - December 31, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

February 17, 1981 - March 24, 1986

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
Past

April 17, 1980 - March 13, 1981

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
Past

December 26, 1978 - November 26, 1979

COLIN, HOCHSTIN CO.

BD
CRD#: 5969
Past

October 7, 1976 - March 26, 1979

WEEDEN & CO.

BD
CRD#: 878
Past

December 24, 1974 - October 19, 1976

BECKER SECURITIES INCORPORATED

BD
CRD#: 6796
Past

March 7, 1973 - November 25, 1975

AG BECKER

BD
CRD#: 1000001

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
RR
Series 63
Date: 9/21/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 9/29/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 1
Date: 3/1/1973
Registered Representative Examination

Current Firm

LT
LEGEND TRADING, LLC
LEGEND TRADING, LLC

CRD#: 150567 / SEC#: , 8-68269

BD
Terminated by SEC on 04/05/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/19/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK INC.SHAREHOLDER
FUSCO, ANTHONYMANAGING MEMBER, PRINCIPAL2704753
MILLER, JOHN STEVENSONFINOP2139980
SERCIA, ANTHONY FRANKCOMPLIANCE OFFICER2067424

Disclosures

Regulatory Event7

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

LEGEND TRADING, LLC

CRD#: 150567

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