Kevin O. Gaston
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 Oliver Gaston, who also goes by Kevin Gaston, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2005. Kevin had worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2015 - August 17, 2022
CUNA BROKERAGE SERVICES, INC.
May 19, 2015 - August 17, 2022
CUNA BROKERAGE SERVICES, INC.
March 5, 2010 - March 25, 2014
MUTUAL OF AMERICA SECURITIES LLC
March 5, 2010 - March 25, 2014
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
May 23, 2007 - June 24, 2009
TRUIST INVESTMENT SERVICES, INC.
May 16, 2007 - June 24, 2009
TRUIST INVESTMENT SERVICES, INC.
June 20, 2006 - February 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 2006 - February 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2005 - June 6, 2006
MORGAN STANLEY DW INC.
August 12, 2005 - June 6, 2006
MORGAN STANLEY DW 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
