Kevin M. Smith
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 Maurice Smith was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1969. Kevin had worked at 12 firms and has passed the Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 1997 - December 8, 1999
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
November 11, 1991 - December 19, 1997
SFI INVESTMENTS, INC.
August 22, 1990 - October 30, 1991
REICH & CO., INC.
August 29, 1989 - August 27, 1990
WORLD FINANCIAL SERVICES, INC.
February 7, 1989 - May 16, 1989
INDIVIDUAL'S SECURITIES LTD.
February 12, 1988 - August 27, 1990
WORLD FINANCIAL SERVICES, INC.
June 10, 1986 - February 12, 1988
GLICKENHAUS & CO.
June 7, 1982 - April 15, 1986
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
April 5, 1977 - June 10, 1982
HARTFIELD, TITUS & DONNELLY, LLC
October 21, 1976 - May 5, 1977
FORESTERS FINANCIAL SERVICES, INC.
April 29, 1976 - August 6, 1976
AMERICAN SECURITIES BD CO., L.P.
August 1, 1975 - May 14, 1976
BRUNS, NORDEMAN, REA & CO.
January 4, 1971 - October 6, 1977
STERN, LAUER & CO.
September 10, 1969 - May 12, 1971
SINGER & MACKIE, 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
Series 1
Date: 9/8/1969
Registered Representative ExaminationCurrent Firm
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
CRD#: 7404 / SEC#: , 8-21586
Contact information
Documents
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 | 19 |
| Arbitration | 7 |
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.
