Kevin L. Barbalace

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CRD#: 4456476

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 Lawrence Barbalace was a registered financial advisor .

Kevin is a previously registered financial advisor and started their career in finance in 2001. Kevin had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

August 18, 2015 - June 10, 2016

CORINTHIAN PARTNERS, L.L.C.

CRD#: 38912

Middletown, NJ

Past

June 10, 2011 - May 13, 2015

DAWSON JAMES ASSET MANAGEMENT, INC.

RIA

CRD#: 135259

COLUMBIA, MD

Past

June 10, 2011 - May 13, 2015

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

COLUMBIA, MD

Past

January 28, 2010 - June 16, 2011

SII INVESTMENTS, INC.

RIA

CRD#: 2225

BALTIMORE, MD

Past

January 28, 2010 - June 16, 2011

SII INVESTMENTS, INC.

CRD#: 2225

BALTIMORE, MD

Past

December 5, 2005 - February 1, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

NOTTINGHAM, MD

Past

December 5, 2005 - February 1, 2010

LPL FINANCIAL LLC

CRD#: 6413

NOTTINGHAM, MD

Past

May 1, 2002 - October 20, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

LUTHERVILLE, MD

Past

February 28, 2002 - October 20, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

February 28, 2002 - October 20, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

November 5, 2001 - January 16, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 5, 2001 - January 16, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

IAR

Series 66

Date: 11/26/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/10/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2001

General Securities Representative Examination

Current Firm

CORINTHIAN PARTNERS, L.L.C.

CORINTHIAN PARTNERS, L.L.C. | CORINTHIAN PARTNERS, L.P.

CRD#: 38912 / SEC#: , 8-48461

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

275 Madison Avenue 8th Floor, New York, NY 10016

Mailing Address

275 Madison Avenue 8th Floor, New York, NY 10016

Phone number

(212) 287-1500

Established

New York since 05/16/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CORINTHIAN HOLDINGS	GENERAL PARTNER
CALABRESE, RICHARD	CHAIRMAN/PRESIDENT/CCO	1549013
CARTER, ANA R	PFO & POO	4424794
CARTER, ANA R	FINOP	4424794
MANOFF, MITCHELL	DIRECTOR/CEO INVESTMENT BANKING	815314

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Kevin L. Barbalace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DAWSON JAMES ASSET MANAGEMENT, INC.

DAWSON JAMES SECURITIES, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/26/2001

SIE

Date: 6/10/2016

Series 7

Date: 11/2/2001

Current Firm

CORINTHIAN PARTNERS, L.L.C.

Contact information

FINRA licenses (33 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CORINTHIAN PARTNERS, L.L.C.

TRUST BUT VERIFY

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