Lloyd J. Kagin
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.
Lloyd Jonathan Kagin was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 1980. Lloyd had worked at 13 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 5, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2016 - July 16, 2021
INTE SECURITIES LLC
January 31, 2011 - June 9, 2014
1ST BRIDGEHOUSE SECURITIES, LLC
May 12, 2006 - December 31, 2010
CAPWEALTH INVESTMENT SERVICES, LLC
April 22, 2005 - May 3, 2006
VALIDATE CAPITAL MARKETS, LLC
January 20, 2004 - May 28, 2004
AKIN BAY COMPANY LLC
February 4, 2002 - December 10, 2002
NATHAN & LEWIS SECURITIES, INC.
November 20, 1995 - April 14, 2000
JOSEPHTHAL & CO., INC.
February 7, 1994 - December 6, 1995
GKN SECURITIES CORP.
July 17, 1991 - February 4, 1994
REICH & CO., INC.
May 14, 1990 - July 18, 1991
GLEACHER & COMPANY SECURITIES, INC.
June 1, 1983 - May 17, 1990
UBS FINANCIAL SERVICES INC.
July 13, 1982 - June 10, 1983
L. F. ROTHSCHILD & CO. INCORPORATED
April 23, 1980 - June 28, 1982
E. F. HUTTON & COMPANY INC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 8
Date: 3/1/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTE SECURITIES LLC
CRD#: 47107 / SEC#: , 8-51667
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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