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KL

Kevin Peter Looby

OLD MISSION MARKETS

Chicago, IL

·CRD# 4229297·26 years experience

Professional Summary

Kevin Peter Looby is a registered financial advisor currently at OLD MISSION MARKETS LLC located in Chicago, Illinois and OLD MISSION CAPITAL, LLC located in Chicago, Illinois. Kevin is registered as a RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 7TO, SIE, Series 3, Series 7, Series 6, Series 14, Series 4, Series 27 and...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

OLD MISSION MARKETS LLC·CRD# 281867

BD

1 N. Dearborn St. 8th Floor, Chicago, IL 60602

November 9, 2020 - Present

OLD MISSION CAPITAL, LLC·CRD# 146991

BD

1. 1 N. Dearborn St. 8th Floor, Chicago, IL 606022. 1 N. Dearborn St. 8th Floor, Chicago, IL 60602

November 9, 2020 - Present

NEUBERGER BERMAN BD LLC·CRD# 2908

RIA

Chicago, IL

June 6, 2002 - August 12, 2004

NEUBERGER BERMAN BD LLC·CRD# 2908

BD

New York, NY

March 19, 2002 - August 12, 2004

IDS LIFE INSURANCE COMPANY·CRD# 6321

BD

Minneapolis, MN

January 7, 2002 - March 13, 2002

AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363

BD

Minneapolis, MN

January 7, 2002 - March 13, 2002

DEAM INVESTOR SERVICES, INC.·CRD# 754

BD

New York, NY

August 18, 2000 - October 8, 2001

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Current Firm

OM

OLD MISSION CAPITAL, LLC

OLD MISSION CAPITAL, LLC

CRD#: 146991 / SEC#: 8-67867

BD

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

1 N. Dearborn St. 8th Floor, Chicago, IL 60602

Mailing Address

1 N. Dearborn St. 8th Floor, Chicago, IL 60602

Phone Number

(312) 235-5371

Established

Illinois since 03/19/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

Documents

Direct owners and executive officers

Name	Position	CRD#
OLD MISSION GROUP LLC	MEMBER	—
GUZOWSKI, JOSEF MICHAEL	MANAGER	2989719
KEITH, ALLEN THOMAS	FINOP	4457493
LOOBY, KEVIN PETER	CHIEF COMPLIANCE OFFICER	4229297
MARQUEZ AVITIA, ERICA NMN	CHIEF OPERATING OFFICER	5074353
NICHOLS, PATRICK JAMES	MANAGER	4757503
RUSSINA, BRYAN SCOTT	MANAGER	5031844

Disclosures

Regulatory Event

8

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2002About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2000About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Dec 2024About the Series 57TO exam

Series 7TO — General Securities Representative Examination

Passed Nov 2020About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2020About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Nov 2018About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Feb 2002About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 2000About the Series 6 exam

Series 14 — Compliance Officer Examination

Passed Mar 2025About the Series 14 exam

Series 4 — Registered Options Principal Examination

Passed Mar 2022About the Series 4 exam

Series 27 — Financial and Operations Principal Examination

Passed Jul 2021About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jan 2021About the Series 24 exam

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CRS (Client Relationship Summary) - BD

Click below to view Kevin Peter Looby's CRS (Customer Relationship Summary).

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KL

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