Kevin S. Mccauley
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 Sean Mccauley, who also goes by Kevin S Mccauley, Kevin Sean Mccauley, Kevin Sean Mccauley Jr, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2014. Kevin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, 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
November 6, 2024 - March 17, 2025
TRADESTATION SECURITIES, INC.
September 5, 2023 - March 5, 2024
MORGAN STANLEY
March 3, 2023 - March 5, 2024
MORGAN STANLEY
December 18, 2017 - September 5, 2023
HARRISDIRECT LLC
July 13, 2017 - September 5, 2023
E*TRADE SECURITIES LLC
November 29, 2016 - December 6, 2017
ZACKS INVESTMENT MANAGEMENT, INC.
March 30, 2016 - November 25, 2016
E*TRADE FUTURES LLC
September 22, 2014 - September 21, 2015
SORRENTO PACIFIC FINANCIAL, LLC
September 19, 2014 - September 21, 2015
SORRENTO PACIFIC FINANCIAL, LLC
May 2, 2014 - June 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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