Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Adam is a financial professional with over 20 years of experience in the industry. Kevin is currently registered with Wells Fargo Securities, LLC and is licensed to conduct business in all 50 states. Kevin has previously worked with Goldman Sachs & Co. LLC, Credit Suisse Securities (USA) LLC, and Duke Capital Partners Securities, LLC. Kevin Adam has a broad range of experience in the financial services industry, including investment banking, direct participation programs, and investment company products. Kevin Adam holds multiple licenses and certifications, including the Series 66, Series 7, Series 14, Series 24, Series 26, Series 39, and Series 52, 6, 82, 79, and 99TO.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
TX
01/28/2021 - Present
Wells Fargo Securities, LLC (HOUSTON TX)
TX
09/12/2018 - 02/08/2021
GOLDMAN SACHS & CO. LLC (HOUSTON TX)
NY
09/09/2003 - 09/10/2018
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NC
10/24/2001 - 03/24/2003
DUKE CAPITAL PARTNERS SECURITIES, LLC (CHARLOTTE NC)
BOTH
Issued 09/13/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/04/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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