Kevin M. Hale
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 Matthew Hale was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2004. Kevin had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 28, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2020 - June 7, 2024
WORLD EQUITY GROUP, INC.
August 7, 2019 - June 7, 2024
WORLD EQUITY GROUP, INC.
August 19, 2015 - April 14, 2020
TRIUMPH WEALTH ADVISORS, INC.
July 17, 2015 - August 8, 2019
TAYLOR CAPITAL MANAGEMENT INC.
September 27, 2013 - June 23, 2014
SB ADVISORY, LLC
August 26, 2013 - June 23, 2014
IFS SECURITIES
April 17, 2013 - September 6, 2013
TRIUMPH WEALTH ADVISORS, INC.
July 24, 2012 - September 6, 2013
TAYLOR CAPITAL MANAGEMENT INC.
August 26, 2011 - September 12, 2011
WOODSTOCK FINANCIAL GROUP, INC.
September 3, 2010 - September 12, 2011
WOODSTOCK FINANCIAL GROUP, INC.
February 11, 2004 - April 15, 2009
E*TRADE SECURITIES LLC
Primary Firm SEC Registration
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/26/2010
Limited Representative-Equity Trader ExamSeries 28
Date: 3/10/2014
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
