Kevin D. Corcoran
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 Dennis Corcoran was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2006. Kevin had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2011 - November 15, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
April 5, 2010 - December 21, 2021
LPL FINANCIAL LLC
March 29, 2010 - December 21, 2021
LPL FINANCIAL LLC
May 14, 2008 - March 11, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 15, 2008 - April 22, 2008
SIGNATOR FINANCIAL SERVICES, INC.
July 19, 2006 - April 22, 2008
SIGNATOR FINANCIAL SERVICES, INC.
January 23, 2006 - July 18, 2006
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 5/26/2024
General Securities Representative ExaminationSeries 6TO
Date: 5/26/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 5/26/2024
Operations Professional ExaminationCurrent Firm
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
Red Flags
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