Kevin Maurice Smith
Professional Summary
Kevin Maurice Smith was a registered financial advisor. Kevin was a previously registered financial professional and started their career in finance 1969 - 1999. Kevin had worked at 12 firms and has passed the Series 1 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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
57 years in the financial services industry
Current & Past Employments
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Current Firm
MCLAUGHLIN, PIVEN INC. | MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. | MCLAUGHLIN, PIVEN, VOGEL INC. | MCLAUGHLIN, PIVEN, VOGEL AND LOPRESTI, INC.
Contact Information
Established
New York since 03/08/1977Firm Type
CorporationFiscal Year End
SeptemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCLAUGHLIN, JAMES CECIL | CHAIRMAN, DIRECTOR | 823224 |
| MCLAUGHLIN, JAMES JOSEPH | SENIOR VICE PRESIDENT, DIRECTOR | 329254 |
| MCLAUGHLIN, MARK GUTHRIE | VICE PRESIDENT, MUNICIPAL BOND TRADER | 831725 |
| ACRICHE, ROBERT NATHAN | CHIEF OPERATIONS MANAGER | 1042052 |
| BRIENZA, EDWARD THOMAS | SR.V.P., BRANCH MANAGER , | 847340 |
| COHEN, IRA ARNOLD | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 1254984 |
| KENNEDY, JAMES MICHAEL | SENIOR VICE PRESIDENT, BRANCH MANAGER | 1191673 |
| VOGEL, ALLAN MICHAEL | CHIEF FINANCIAL OFFICER | 845445 |
Disclosures
Regulatory Event
19Arbitration
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Sep 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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