Kevin M. Mcgunnigle

HUATAI SECURITIES (USA)

New York, NY 10017

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CRD#: 4823660

Professional summary

Kevin M Mcgunnigle, who also goes by Kevin M. Mcgunnigle, is a registered financial professional currently at HUATAI SECURITIES (USA), INC. located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2004. Kevin has worked at 4 firms and has passed the Series 66, Series 82TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin M. Mcgunnigle

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) - BD

Click below to view Kevin M Mcgunnigle's CRS (Customer Relationship Summary).

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

Current

April 10, 2020 - Present

HUATAI SECURITIES (USA), INC.

Office #1: 280 Park Ave 21 Floor East, New York, NY 10017

CRD#: 298809

New York, NY

Past

August 25, 2017 - January 2, 2020

CHINA RENAISSANCE SECURITIES (US) INC.

CRD#: 166318

NEW YORK, NY

Past

June 22, 2005 - October 19, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

June 21, 2005 - October 19, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

Past

September 27, 2004 - June 20, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CLEARWATER, FL

Past

August 27, 2004 - June 20, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(11/3/2021)

New York
(4/10/2020)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/23/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/30/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/26/2004

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

HUATAI SECURITIES (USA), INC.

CRD#: 298809 / SEC#: , 8-70231

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

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Contact information

Main Address

280 Park Ave 21 Floor East, New York, NY 10017

Mailing Address

280 Park Ave 21 Floor East, New York, NY 10017

Phone number

(212) 763-8180

Established

Delaware since 08/24/2018

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HUATAI SECURITIES USA HOLDINGS, INC.	SOLE SHAREHOLDER
LIN, BRYAN DAWEI	CHIEF EXECUTIVE OFFICER/DIRECTOR	2923067
MAO, SANDRA YUAN-SAN	CHIEF COMPLIANCE OFFICER	4318909
RUTITSKIY, DMITRIY	FINOP	6117665
SUN, YING	BOARD MEMBER	7026572
WANG, CHONG	BOARD MEMBER	7030757
WANG, LEI	BOARD MEMBER	7078240

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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Advisor Monitoring

Firm Stability Insights

Kevin M. Mcgunnigle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin M Mcgunnigle's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHINA RENAISSANCE SECURITIES (US) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/23/2004

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 9/30/2004

Series 7

Date: 8/26/2004

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HUATAI SECURITIES (USA), INC.

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HUATAI SECURITIES (USA), INC.

TRUST BUT VERIFY

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