Kevin E. Grady
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 Edward Grady was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1977. Kevin had worked at 8 firms and has passed the Series 63, SIE, Series 15, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2008 - February 18, 2019
WOOD (ARTHUR W.) COMPANY, INC.
March 24, 2003 - May 8, 2008
JESUP & LAMONT SECURITIES CORP
March 9, 2002 - March 28, 2003
RBC CAPITAL MARKETS, LLC
August 31, 1990 - March 9, 2002
TUCKER ANTHONY INCORPORATED
January 29, 1988 - September 26, 1990
CIBC WORLD MARKETS CORP.
April 8, 1982 - February 5, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
October 13, 1978 - April 20, 1982
CIBC WORLD MARKETS CORP.
September 26, 1978 - November 14, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 15
Date: 6/13/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationCurrent Firm
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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