Jeffrey T. Kvaal
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.
Jeffrey Thomas Kvaal, who also goes by Jeffrey Kvaal, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1999. Jeffrey had worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2020 - November 11, 2021
WOLFE RESEARCH SECURITIES
November 14, 2016 - August 6, 2020
INSTINET, LLC
May 19, 2015 - November 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
March 19, 2014 - May 5, 2015
NORTHLAND SECURITIES, INC.
September 22, 2008 - February 26, 2013
BARCLAYS CAPITAL INC.
October 7, 1999 - September 22, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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