Kevin P. Kline
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 Patrick Kline was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2002. Kevin had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2015 - February 4, 2019
CG CAPITAL MARKETS, LLC
January 9, 2014 - November 9, 2015
PATRICK CAPITAL MARKETS, LLC
February 25, 2013 - July 25, 2013
CV BROKERAGE, INC
July 25, 2012 - December 17, 2012
PACE CAPITAL CORP.
April 28, 2012 - June 22, 2012
STALWART CAPITAL, LLC
March 9, 2010 - September 9, 2011
COVENTRY SECURITIES, LLC
August 9, 2006 - December 31, 2009
THE LEADERS GROUP, INC.
August 11, 2003 - March 2, 2004
LENOX ADVISORS, INC.
June 18, 2003 - November 30, 2004
MML INVESTORS SERVICES, LLC
November 27, 2002 - June 3, 2003
SEI INVESTMENTS DISTRIBUTION CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CG CAPITAL MARKETS, LLC
CRD#: 35513 / SEC#: , 8-46710
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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