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KM

Kevin M. Magner

HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4346495
KM

Professional summary

Kevin Michael Magner, who also goes by Kevin Michael Magner, is a registered financial professional currently at HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC located in Chicago, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2001. Kevin has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Michael Magner

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Michael Magner's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 17, 2015 - Present

HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC

Office #1: 110 N. Wacker Drive Suite 3750, Chicago, IL 60606
BD
CRD#: 131452
Chicago, IL
Past

April 12, 2004 - August 21, 2015

OPPENHEIMER & CO. INC.

BD
CRD#: 249
CHICAGO, IL
Past

March 9, 2001 - April 16, 2004

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/12/2018)
RR
Illinois
(9/17/2015)
RR
Indiana
(2/12/2016)
RR
Kansas
(9/17/2015)
RR
Michigan
(9/17/2015)
RR
Minnesota
(9/17/2015)
RR
Missouri
(9/17/2015)
RR
New York
(9/17/2015)
RR
Ohio
(9/17/2015)
RR
Wisconsin
(9/17/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 4/26/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HW
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
ALPHALINK PARTNERS LLC | HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC | AQUEDUCT CAPITAL GROUP, LLC

CRD#: 131452 / SEC#: , 8-66464

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209
Mailing Address
2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209
Phone number
(704) 973-9919
Established
Delaware since 01/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PNC BANK NATIONAL ASSOCIATIONPARENT
AQUEDUCT CAPITAL HOLDINGS, LLCSOLE MEMBER
EDWARDS, FRANK HOOKERCEO/CCO/MEMBER OF AQUEDUCT CAPITAL HOLDINGS, LLC2151464
LESSING, STEPHEN MARION JR.PARTNER5306328
LONG, GEORGE PHILLIP MR.CORPORATE SECRETARY5094038
NEUNER, JOHN IVBOARD MEMBER4578584
VALENTINE, EDWARD WESTBOARD MEMBER2399981
WILCOX, BLAKE MILLERFINOP5982383

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.

Company Information

HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC

CRD#: 131452Chicago, IL 60606

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