Kevin P. Cleary
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 Patrick Cleary, who also goes by Kevin Cleary, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1979. Kevin had worked at 15 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE 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
January 24, 2024 - June 6, 2025
OPPENHEIMER & CO. INC.
June 5, 2019 - January 19, 2024
STONEX FINANCIAL INC.
January 7, 2019 - May 8, 2019
WILLIAM BLAIR
September 21, 2018 - November 30, 2018
HUNT FINANCIAL SECURITIES
October 3, 2017 - September 17, 2018
SAMUEL A. RAMIREZ & COMPANY, INC.
June 23, 2016 - September 25, 2017
LOOP CAPITAL MARKETS LLC
March 9, 2015 - November 30, 2015
CANACCORD GENUITY LLC
October 10, 2007 - March 10, 2015
R.W.PRESSPRICH & CO.
March 29, 2006 - October 9, 2007
RBC CAPITAL MARKETS, LLC
January 10, 2005 - March 31, 2006
KNIGHT LIBERTAS LLC
November 21, 2000 - January 5, 2005
CRT CAPITAL GROUP LLC
July 24, 1998 - November 29, 2000
UBS FINANCIAL SERVICES INC.
February 23, 1995 - May 18, 1998
J.P. MORGAN SECURITIES LLC
March 4, 1987 - January 23, 1995
UBS SECURITIES LLC
May 1, 1979 - December 24, 1986
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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 ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
