Kevin J. Vollmer
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 John Vollmer was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2003. Kevin had worked at 8 firms and has passed the Series 66, Series 63 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
April 10, 2012 - September 25, 2012
NATIONAL SECURITIES CORPORATION
January 5, 2011 - July 21, 2011
AEGIS CAPITAL CORP.
July 22, 2010 - July 21, 2011
AEGIS CAPITAL CORP.
December 4, 2008 - July 21, 2009
BROOKSTONE SECURITIES, INC.
August 13, 2008 - November 14, 2008
CARLTON CAPITAL INC.
February 26, 2008 - August 4, 2008
MERCER CAPITAL LTD.
February 7, 2008 - February 25, 2008
MERCER CAPITAL LTD.
June 26, 2007 - March 3, 2008
NATIONAL SECURITIES CORPORATION
May 26, 2005 - June 19, 2007
WINDSOR STREET CAPITAL, LP
April 27, 2004 - May 19, 2005
MILESTONE GROUP MANAGEMENT LLC
April 3, 2003 - May 3, 2004
HARRISON SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
