KM
Kevin G. Mcgowan
CAVANAL HILL INVESTMENT MANAGEMENT
MIDDLETON, CT
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CRD#: 5915089
KM
Professional summary
Kevin Gerard Mcgowan is a registered financial advisor currently at CAVANAL HILL INVESTMENT MANAGEMENT, INC. located in Middleton, Connecticut and CAVANAL HILL DISTRIBUTORS, INC, located in Tulsa, Oklahoma.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kevin has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Gerard Mcgowan's 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®
NoneExperience
Current
June 27, 2022 - Present
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 110774
MIDDLETON, CT
Current
March 31, 2022 - Present
CAVANAL HILL DISTRIBUTORS, INC,
Office #1: One Williams Center 15th Floor, Tulsa, OK 74172BD
CRD#: 175445
Tulsa, OK
Past
May 9, 2011 - July 28, 2021
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
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".
CH
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
AXIA INVESTMENT MANAGEMENT, INC. | INVESTMENT CONCEPTS, INC. | CAVANAL HILL INVESTMENT MANAGEMENT, INC. | BOK INVESTMENT ADVISERS, INC. | AXIA INVESTMENT MANAGMENT, INC.
CRD#: 110774 / SEC#: 801-60138
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/10/2025)
IAR
California(9/10/2025)
RR
Colorado(5/28/2025)
IAR
Colorado(5/28/2025)
RR
Connecticut(5/23/2024)
IAR
Connecticut(5/23/2024)
RR
Illinois(3/31/2022)
IAR
Illinois(6/27/2022)
RR
Iowa(3/31/2022)
IAR
Iowa(6/27/2022)
RR
Kansas(3/31/2022)
IAR
Kansas(6/27/2022)
RR
Missouri(3/31/2022)
IAR
Missouri(6/27/2022)
RR
Oklahoma(3/31/2022)
IAR
Oklahoma(6/27/2022)
RR
Tennessee(3/31/2022)
IAR
Tennessee(6/28/2022)
RR
Texas(1/2/2024)
IAR
Texas(1/2/2024)
RR
Wisconsin(3/16/2023)
IAR
Wisconsin(3/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CH
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
AXIA INVESTMENT MANAGEMENT, INC. | INVESTMENT CONCEPTS, INC. | CAVANAL HILL INVESTMENT MANAGEMENT, INC. | BOK INVESTMENT ADVISERS, INC. | AXIA INVESTMENT MANAGMENT, INC.
CRD#: 110774 / SEC#: 801-60138
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)PREMIUM
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Contact information
Main Address
One Williams Center 15th Floor, Tulsa, OK 74172-0172
Mailing Address
6242 E. 41st St. So, Tulsa, OK 74135
Phone number
(800) 958-2942
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,175 |
| AUM (Assets Under Management) | $ 15,233,547,787 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 12/18/2024 | ||
| 08/25/2023 |
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.
