Kevin M. Dark
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 Mitchell Dark was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2003. Kevin had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2008 - December 31, 2008
401(K) INVESTMENT SERVICES, INC.
February 8, 2007 - December 22, 2017
CHARLES SCHWAB & CO., INC.
July 6, 2005 - December 5, 2006
CHASE INVESTMENT SERVICES CORP.
November 10, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
401(K) INVESTMENT SERVICES, INC.
CRD#: 31150 / SEC#: , 8-45388
Contact information
Documents
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.
