Kevin A. Mayer
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 Andrew Mayer, who also goes by Kevin Mayer, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2007. Kevin had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2011 - March 6, 2018
FIRST TRUST ADVISORS LP
December 7, 2011 - March 6, 2018
FIRST TRUST PORTFOLIOS L.P.
May 30, 2007 - December 5, 2011
EDWARD JONES
May 10, 2007 - December 5, 2011
EDWARD JONES
Primary Firm SEC Registration
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
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
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
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.
