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KM

Kevin E. Mealia

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CRD#: 4203719
KM

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 E Mealia was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2000. Kevin had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 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 7, 2019 - October 22, 2019

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

BD
CRD#: 148024
SUMMIT, NJ
Past

June 15, 2006 - February 25, 2019

AST INVESTMENT SERVICES, INC.

RIA
CRD#: 108897
SHELTON, CT
Past

January 26, 2005 - February 25, 2019

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

January 6, 2003 - May 26, 2004

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

October 2, 2000 - November 5, 2002

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT

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: 7/26/2002
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/29/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/29/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SF
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
FUTURITY FIRST INVESTMENT SERVICES INC. | SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

CRD#: 148024 / SEC#: , 8-67957

BD
Terminated by SEC on 12/26/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
EBMEIER, MICHAEL HENRYPRESIDENT1794974
MARGOLIES, JARED LANCECHIEF COMPLIANCE OFFICER3201712
PETERS, ROBERT WILLIAMPRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER1704577

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

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

CRD#: 148024

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