Kevin T. Magnus
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 Thomas Magnus, who also goes by Kevin Magnus, 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 SIE, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2009 - July 26, 2016
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
April 23, 2001 - August 31, 2009
TRADITION SECURITIES AND DERIVATIVES LLC
March 9, 2001 - May 10, 2001
LABRANCHE FINANCIAL SERVICES, LLC
October 1, 2000 - April 25, 2001
WILSON (JR), JOHN E
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 25
Date: 2/22/2000
NYSE Trading Assistant ExaminationCurrent Firm
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
CRD#: 103460 / SEC#: , 8-52179
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMJ HOLDINGS, INC. | SHAREHOLDER | |
| CUCCIA, GARY JOHN | CEO/CCO/CFO/FINOP | 1386493 |
Disclosures
| Regulatory Event | 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.
