Kevin W. Sterling
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 Wallace Sterling was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2005. Kevin had worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2020 - May 21, 2020
THE BENCHMARK COMPANY, LLC
October 10, 2016 - December 31, 2019
SEAPORT GLOBAL SECURITIES LLC
January 2, 2013 - October 12, 2016
BB&T SECURITIES, LLC
August 19, 2009 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
October 24, 2005 - August 7, 2009
STEPHENS
October 19, 2005 - August 7, 2009
STEPHENS
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
THE BENCHMARK COMPANY, LLC
CRD#: 22982 / SEC#: , 8-40081
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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.
