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Kevin Henry Kading

CRD# 705739·Registered 1980 - 1995
Previously Registered: Being a previously registered professional could mean that Kevin 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.

Professional Summary

Kevin Henry Kading was a registered financial advisor. Kevin was a previously registered financial professional and started their career in finance 1980 - 1995. Kevin had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

46 years in the financial services industry

Current & Past Employments

HORNBLOWER & WEEKS, INC.·CRD# 4683
BD
New York, NY
August 8, 1995 - September 12, 1995
THE WELLINGTON GROUP, INC.·CRD# 17814
BD
New York, NY
May 6, 1994 - October 23, 1995
BAIRD, PATRICK & CO., INC.·CRD# 1149
BD
Fairfield, NJ
May 14, 1990 - May 2, 1994
VANDERBILT SECURITIES, INC.·CRD# 14280
BD
February 16, 1990 - May 3, 1990
J. T. MORAN & CO., INC.·CRD# 15655
BD
August 31, 1988 - January 30, 1990
HIBBARD BROWN & CO., INC.·CRD# 18246
BD
June 1, 1988 - August 30, 1988
SHERWOOD CAPITAL, INC.·CRD# 10474
BD
February 2, 1987 - May 28, 1988
FIRST JERSEY SECURITIES, INC.·CRD# 6621
BD
March 18, 1980 - January 31, 1987

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Current Firm

H&
HORNBLOWER & WEEKS, INC.

BAKER WEEKS, INC. | HORNBLOWER & WEEKS, INC. | FREUNDLICH-LUBECK COMPANY | EC/AMERICAN SECURITIES CORP.

CRD#: 4683 / SEC#: 8-16493
BD
Terminated by SEC on 12/21/2002

Contact Information

Established

Georgia since 01/14/1993

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HORNBLOWER & WEEKS FINANCIAL CORPORATIONPARENT—
ELLENHORN, ERIC LEECOMPLIANCE OFFICER2199395
ELLENHORN, ERIC LEEGSP, VP, CEO,—
LUBITZ, JACKFINOP1566639
ROONEY, JOHN RYANGSP, PRESIDENT.2511607

Disclosures

Regulatory Event

15

Arbitration

6

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1980About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 1987About the Series 24 exam

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CRS (Client Relationship Summary)

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

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