KM
Kevin T. Millett
BNY MELLON CAPITAL MARKETS
New York, NY 10286
Some features on this profile are disabled
CRD#: 3254667
KM
Professional summary
Kevin Thomas Millett is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in New York, New York and PERSHING 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 57TO, SIE, Series 55, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Thomas Millett'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
January 2, 2014 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 17454
New York, NY
Current
July 11, 2024 - Present
PERSHING LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 7560
New York, NY
Past
September 9, 2005 - January 7, 2014
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
April 16, 2003 - September 9, 2005
PERSHING ADVISOR SOLUTIONS LLC
BD
CRD#: 36671
JERSEY CITY, NJ
Past
March 22, 2000 - April 14, 2003
HILL THOMPSON MAGID & CO., INC.
BD
CRD#: 2202
JERSEY CITY, NJ
Past
December 8, 1999 - March 7, 2000
DRAKE & COMPANY, INC.
BD
CRD#: 16227
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(9/13/2018)
RR
Alaska(9/13/2018)
RR
Arizona(9/13/2018)
RR
Arkansas(9/13/2018)
RR
California(9/13/2018)
RR
Colorado(9/13/2018)
RR
Connecticut(9/13/2018)
RR
Delaware(9/13/2018)
RR
District of Columbia(9/13/2018)
RR
Florida(9/13/2018)
RR
Georgia(9/13/2018)
RR
Hawaii(9/13/2018)
RR
Idaho(9/13/2018)
RR
Illinois(9/13/2018)
RR
Indiana(9/13/2018)
RR
Iowa(9/13/2018)
RR
Kansas(9/13/2018)
RR
Kentucky(9/13/2018)
RR
Louisiana(9/13/2018)
RR
Maine(9/13/2018)
RR
Maryland(9/13/2018)
RR
Massachusetts(9/13/2018)
RR
Michigan(9/13/2018)
RR
Minnesota(9/13/2018)
RR
Mississippi(9/13/2018)
RR
Missouri(9/13/2018)
RR
Montana(9/13/2018)
RR
Nebraska(9/13/2018)
RR
Nevada(9/13/2018)
RR
New Hampshire(9/13/2018)
RR
New Jersey(1/2/2014)
RR
New Mexico(9/13/2018)
RR
New York(1/2/2014)
RR
North Carolina(9/13/2018)
RR
North Dakota(9/13/2018)
RR
Ohio(9/13/2018)
RR
Oklahoma(9/13/2018)
RR
Oregon(9/13/2018)
RR
Pennsylvania(9/13/2018)
RR
Puerto Rico(9/13/2018)
RR
Rhode Island(9/13/2018)
RR
South Carolina(9/13/2018)
RR
South Dakota(9/13/2018)
RR
Tennessee(9/13/2018)
RR
Texas(9/13/2018)
RR
Utah(9/13/2018)
RR
Vermont(9/13/2018)
RR
Virgin Islands(7/11/2024)
RR
Virginia(9/13/2018)
RR
Washington(9/13/2018)
RR
West Virginia(9/13/2018)
RR
Wisconsin(9/13/2018)
RR
Wyoming(9/13/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/19/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/19/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
PL
PERSHING LLC
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION
CRD#: 7560 / SEC#: , 8-17574
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 01/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
