David Michael Kavanagh
Professional Summary
David Michael Kavanagh, who also goes by David M Kavanagh, is a registered financial advisor currently at DCM BROKERS, LLC located in Chicago, Illinois. David is registered as a RR (Registered Representative) and started their career in finance in 1980. David has worked at 3 firms and has passed the Series 63, Series 6TO, SIE, Series 22, Series 7, Series 26 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David M Kavanagh
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
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Current Firm
DCM BROKERS, LLC
Contact Information
Main Address
566 W. Adams, Suite 300, Chicago, IL 60661Mailing Address
555 W. Jackson Suite 600, Chicago, IL 60661Phone Number
(312) 756-4450Established
Illinois since 01/08/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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
(1/4/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2019About the Series 6TO examSeries 22 — Direct Participation Programs Representative Examination
Passed Aug 2007About the Series 22 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Feb 2020About the Series 26 examSeries 39 — Direct Participation Programs Principal Examination
Passed Aug 2007About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Michael Kavanagh's CRS (Customer Relationship Summary).
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