Kevin W. Parsells
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 W Parsells, who also goes by Kevin Parsells, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2000. Kevin had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2006 - June 2, 2006
HALLMARK INVESTMENTS, INC.
August 23, 2005 - March 28, 2006
ANDREW GARRETT INC.
April 21, 2005 - June 7, 2005
S.W. BACH & COMPANY
March 17, 2005 - April 20, 2005
S.W. BACH & COMPANY
September 27, 2002 - March 22, 2005
GUNNALLEN FINANCIAL, INC
September 6, 2002 - November 22, 2002
SCHNEIDER SECURITIES, INC.
September 25, 2001 - July 31, 2002
HARRISON SECURITIES, INC.
October 30, 2000 - October 23, 2001
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HALLMARK INVESTMENTS, INC.
CRD#: 135003 / SEC#: , 8-66881
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HALLMARK INVESTMENTS HOLDING CORPORATION | OWNER | |
| DASH, STEVEN GARY | CEO | 2438498 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
