Kevin J. Jolley
Professional summary
Kevin John Jolley is a registered financial professional currently at SHIELDS & COMPANY, INC. located in Waltham, Massachusetts.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin John Jolley's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2024 - Present
SHIELDS & COMPANY, INC.
Office #1: 800 South Street Suite 310, Waltham, MA 02453December 3, 2020 - July 10, 2023
COWEN AND COMPANY
July 18, 2013 - October 21, 2020
ALTACCESS SECURITIES COMPANY, L.P.
March 17, 2006 - June 27, 2013
CAPSTONE PARTNERS
May 18, 2000 - March 13, 2006
CANACCORD GENUITY LLC
December 7, 1999 - March 27, 2000
APEX CLEARING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/10/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SHIELDS & COMPANY, INC.
CRD#: 30000 / SEC#: , 8-44663
Contact information
FINRA licenses (2 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
SHIELDS & COMPANY, INC.
CRD#: 30000Waltham, MA 02453TRUST BUT VERIFY
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