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KP

Kevin M. Pruitt

SOGOTRADE
Chesterfield, MO 63005
Some features on this profile are disabled
CRD#: 4074684
KP

Professional summary

Kevin M Pruitt, who also goes by Kevin Michael Pruitt, is a registered financial professional currently at SOGOTRADE, INC. located in Chesterfield, Missouri.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Michael Pruitt

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) - BD

Click below to view Kevin M Pruitt's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 5, 2024 - Present

SOGOTRADE, INC.

Office #1: 1 Mcbride & Sons Center Drive Suite 288, Chesterfield, MO 63005
BD
CRD#: 17912
Chesterfield, MO
Past

September 19, 2023 - April 25, 2024

EDWARD JONES

RIA
CRD#: 250
ST. LOUIS, MO
Past

September 19, 2023 - April 25, 2024

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

January 19, 2022 - September 11, 2023

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Wentzille, MO
Past

January 19, 2022 - September 11, 2023

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

April 7, 2018 - April 12, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
St Louis, MO
Past

January 17, 2018 - January 19, 2022

TD AMERITRADE, INC.

RIA
CRD#: 7870
St Louis, MO
Past

January 17, 2018 - January 19, 2022

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

May 15, 2017 - April 7, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

July 11, 2000 - April 7, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
ST LOUIS, MO
Past

January 17, 2000 - July 5, 2000

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO

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
Missouri
(11/5/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/15/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/15/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 11/5/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/3/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/10/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/30/2005
General Securities Principal Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SI
SOGOTRADE, INC.
COASTAL INVESTMENTS ASSOCIATES LTD. | WANG INVESTMENTS | WANG INVESTMENT ASSOCIATES, INC. | SOGOTRADE, INC. | SOGOTRADE | COASTAL INVESTMENTS ASSOCIATES, LTD.

CRD#: 17912 / SEC#: , 8-35930

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1 Mcbride And Son Center Drive Suite 288, Chesterfield, MO 63005
Mailing Address
1 Mcbride And Son Center Drive Suite 288, Chesterfield, MO 63005
Phone number
(646) 885-6486
Established
Delaware since 12/16/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOGO FINANCIAL MANAGEMENT, LLCSHAREHOLDER
CONNOR, RICHARD BRIANCHIEF OPERATIONS OFFICER2364764
FRIEDMAN, TIMOTHY NATHANCHIEF AML OFFICER1967603
MANDERS, PATRICKCHIEF COMPLIANCE OFFICER6658729
SAKOL, DANIEL SCOTTFINOP2813237
WALLACE, KRISTOPHER ALEXANDERCHIEF EXECUTIVE OFFICER2363185

Disclosures

Regulatory Event7
Arbitration1

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

SOGOTRADE, INC.

CRD#: 17912Chesterfield, MO 63005

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