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Kevin O. O'sullivan

ERG SECURITIES (US) LLC
Norwalk, CT 06854
Some features on this profile are disabled
CRD#: 4448610
KO

Professional summary

Kevin O'brien O'sullivan is a registered financial professional currently at ERG SECURITIES (US) LLC located in Norwalk, Connecticut.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2001. Kevin has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

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) - BD

Click below to view Kevin O'brien O'sullivan's 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

May 19, 2023 - Present

ERG SECURITIES (US) LLC

Office #1: 50 Washington Street, Suite 921, Norwalk, CT 06854
BD
CRD#: 121057
Norwalk, CT
Past

February 18, 2020 - June 30, 2022

SHOT TOWER SECURITIES LLC

BD
CRD#: 169678
Baltimore, MD
Past

October 10, 2011 - January 6, 2020

SC&H CAPITAL CORPORATION

BD
CRD#: 148291
Ellicott City, MD
Past

June 10, 2011 - November 22, 2011

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

BD
CRD#: 18810
CLAYTON, MO
Past

June 24, 2008 - February 3, 2011

SIGNAL HILL CAPITAL GROUP LLC

BD
CRD#: 122782
BALTIMORE, MD
Past

May 29, 2006 - June 5, 2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
BALTIMORE, MD
Past

October 3, 2001 - October 15, 2001

HEARTLAND SECURITIES CORP.

BD
CRD#: 43201
EDISON, NJ

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
Connecticut
(5/19/2023)
RR
Maryland
(5/19/2023)
RR
New York
(5/19/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/17/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/27/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
ERG SECURITIES (US) LLC
ASPERION GROUP LLC | ERG SECURITIES (US) LLC

CRD#: 121057 / SEC#: , 8-65376

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

Main Address
50 Washington Street Suite 921, Norwalk, CT 06854
Mailing Address
50 Washington Street Suite 921, Norwalk, CT 06854
Phone number
(646) 571-0173
Established
Delaware since 04/26/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ERG CAPITAL PARTNERS, LLCOWNER, MEMBER
GOODMAN, ROBERT MCCO, PRINCIPAL, CEO, AML OFFICER2246972
O'DOWD, GEORGE MARKPRINCIPAL2219430
RYAN, KIMBERLY ANNFINOP, PFO, POO4316310

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

ERG SECURITIES (US) LLC

CRD#: 121057Norwalk, CT 06854

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