Kevin D. Gleason
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 David Gleason was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2010. Kevin had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2020 - April 7, 2021
RIA ADVISORY GROUP, LLC
April 1, 2020 - August 11, 2020
BALEFIRE, LLC
March 9, 2020 - August 10, 2020
LPL FINANCIAL LLC
June 9, 2015 - March 17, 2020
PRINCIPAL SECURITIES, INC.
October 17, 2011 - March 17, 2020
PRINCIPAL SECURITIES, INC.
June 30, 2010 - October 12, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
RIA ADVISORY GROUP, LLC
CRD#: 152566 / SEC#: 801-117837
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
RIA ADVISORY GROUP, LLC
CRD#: 152566 / SEC#: 801-117837
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,009 |
| AUM (Assets Under Management) | $ 456,517,836 |
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.
