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KW

Kevin R. Wilson

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CRD#: 3262701
KW

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 Richard Wilson was a registered financial professional .

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

October 6, 2021 - May 16, 2022

SW FINANCIAL

BD
CRD#: 145012
NEW YORK, NY
Past

November 29, 2019 - October 14, 2021

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
New York, NY
Past

August 7, 2017 - December 10, 2019

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

October 27, 2010 - September 5, 2017

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
NEW YORK, NY
Past

December 22, 2008 - November 16, 2010

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

August 29, 2006 - January 21, 2009

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

March 24, 2005 - September 11, 2006

WESTMINSTER SECURITIES CORPORATION

BD
CRD#: 6105
NEW YORK, NY
Past

November 25, 2002 - March 24, 2003

KUHNS BROTHERS SECURITIES CORPORATION

BD
CRD#: 47331
LIME ROCK, CT
Past

June 20, 2001 - April 26, 2005

CASIMIR CAPITAL L.P.

BD
CRD#: 105061
GREENWICH, CT
Past

November 10, 1999 - July 9, 2001

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, 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
RR
Series 63
Date: 1/10/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/1999
General Securities Representative Examination

Current Firm

SF
SW FINANCIAL
SALOMON WHITNEY FINANCIAL | SW FINANCIAL | SALOMON WHITNEY LLC

CRD#: 145012 / SEC#: , 8-67688

BD
Postponed Effective by SEC on 05/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/11/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ANGIA HOLDINGS, LLC75.1% OWNER

Disclosures

Regulatory Event7
Arbitration7

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

SW FINANCIAL

CRD#: 145012

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