Kevin P. Hegarty

HEGARTY ADVISORS

Garden City, NY 11530

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CRD#: 5110292

Professional summary

Kevin Patrick Hegarty, CFP®, who also goes by Kevin Hegarty, is a registered financial advisor currently at HEGARTY ADVISORS, LLC located in Garden City, New York.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Kevin has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Hegarty

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) - RIA

Click below to view Kevin Patrick Hegarty's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

January 5, 2024 - Present

HEGARTY ADVISORS, LLC

Office #1: 1461 Franklin Ave, Garden City, NY 11530

RIA

CRD#: 306342

Garden City, NY

Past

October 12, 2021 - December 31, 2023

HEGARTY ADVISORS, LLC

RIA

CRD#: 306342

GARDEN CITY, NY

Past

September 21, 2016 - November 6, 2019

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 22, 2006 - September 22, 2016

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEGARTY ADVISORS, LLC

CRD#: 306342 / SEC#: 801-124958

RIA

Registered Investment Advisory firm - (5/5/2022 Approved)

New York

Registered Investment Advisory firm - (5/23/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(1/5/2024)

IAR

Texas
(10/28/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/4/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/9/2015

General Securities Principal Examination

Current Firm

HEGARTY ADVISORS, LLC

CRD#: 306342 / SEC#: 801-124958

RIA

Registered Investment Advisory firm - (5/5/2022 Approved)

New York

Registered Investment Advisory firm - (5/23/2022 Terminated)

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Contact information

Main Address

1461 Franklin Ave, Garden City, NY 11530

Mailing Address

Phone number

(516) 280-2323

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B (1/28/2025)

Regulatory assets under management

Total Number of Accounts	370
AUM (Assets Under Management)	$ 125,300,000

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 P. Hegarty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Hegarty's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEGARTY ADVISORS, LLC

UBS SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

HEGARTY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/4/2006

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2006

Series 24

Date: 12/9/2015

Current Firm

HEGARTY ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEGARTY ADVISORS, LLC

TRUST BUT VERIFY

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