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DK

Dylan M. Kavanagh

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CRD#: 6886381
DK

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.

Dylan Michael Kavanagh, who also goes by Dylan Kavanagh, was a registered financial professional .

Dylan is a previously registered financial professional and started their career in finance in 2018. Dylan had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dylan Kavanagh

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.
1. 6/12/2019 - InterCapital - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/03/2019 - 240 Hours Per Month/35 Hours During Securities Trading. 2. 07/31/2021 - InterCapital, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - 240 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through InterCapital, LLC an independent investment advisor firm. I expect to spend approximately 240 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 3, 2021 - November 29, 2022

INTERCAPITAL, LLC

RIA
CRD#: 311534
NEW ORLEANS, LA
Past

February 27, 2019 - July 30, 2021

NEWEDGE ADVISORS

RIA
CRD#: 171351
New Orleans, LA
Past

September 19, 2018 - August 12, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
NEW ORLEANS, LA
Past

January 22, 2018 - June 7, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/4/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/20/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/2018
General Securities Representative Examination

Current Firm

IL
INTERCAPITAL, LLC
INTERCAPITAL MANAGEMENT | INTERCAPITAL, LLC

CRD#: 311534 / SEC#:

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Contact information

Main Address
New Orleans, LA
Mailing Address
Phone number
(504) 610-8109
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts8
AUM (Assets Under Management)$ 30,528,821

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.

Company Information

INTERCAPITAL, LLC

CRD#: 311534

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