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KH

Kevin P. Hudak

Some features on this profile are disabled
CRD#: 4439153
KH

Professional summary

Kevin Paul Hudak was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Kevin had worked at 4 firms, which includes CUE FINANCIAL GROUP INC., FOOTHILL SECURITIES INC., CETERA WEALTH SERVICES LLC, PFS INVESTMENTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 26, 2014 - September 15, 2015

CUE FINANCIAL GROUP, INC.

RIA
CRD#: 21033
SCOTTSDALE, AZ
Past

June 18, 2014 - October 8, 2015

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
ALBUQUERQUE, NM
Past

January 19, 2007 - June 17, 2014

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
ALBUQUERQUE, NM
Past

February 28, 2006 - June 17, 2014

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
ALBUQUERQUE, NM
Past

November 2, 2001 - September 23, 2005

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/28/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/2/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/1/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/15/2002
Investment Company Products/Variable Contracts Principal Examination

Current Firm

CF
CUE FINANCIAL GROUP, INC.
BATIE & CO CAPITAL MGMT LLC | WEALTH MANAGEMENT GROUP | TURNING POINTE WEALTH MANAGEMENT | SCOTT HANISH LLC | LBW INSURANCE & FINANCIAL SERVICES | CUSO EQUITIES, INC. | CUE SECURITIES, INC. | CUE FINANCIAL GROUP, INC. | CUE FINANCIAL GROUP | CUE ADVISORY SERVICES, INC. | CUE | CORNERSTONE ASSET MANAGEMENT

CRD#: 21033 / SEC#: 801-66538, 8-38647

BD
Terminated by SEC on 01/30/2010
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Contact information

Main Address
Scottsdale, AZ
Mailing Address
Phone number
(480) 519-6088
Established
Arizona since 09/15/1987
Firm type
Corporation
Fiscal year end
February
# of Employees
1

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
KUPLIC, JUDITH ANNEXECUTIVE VICE PRESIDENT/SECRETARY1185076
MELBY, MICHAEL RYANCEO/PRESIDENT/ CFO1097937
SOLLENBERGER, JAMES EDWARDCHAIRMAN430290
OLTHOUSE, VAUGHN SHELDONSENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER501382

Disclosures

Regulatory Event2

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

CUE FINANCIAL GROUP, INC.

CRD#: 21033

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