Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin David Smithies is a financial advisor with Middlegate Securities Inc. based in NEW YORK, NY. Kevin has been in the financial services industry since 2007. Before joining Middlegate Securities Inc., Kevin worked at ADVISORS ASSET MANAGEMENT, INC. in NEW YORK, NY, INCAPITAL LLC in DELRAY BEACH, FL, BMO CAPITAL MARKETS CORP. in CHICAGO, IL, BMO CAPITAL MARKETS GKST INC. in CHICAGO, IL, ALPS DISTRIBUTORS, INC. in DENVER, CO and BEAR, STEARNS & CO. INC. in NEW YORK, NY. Kevin holds FINRA Series 63, Series 7, and SIE licenses.
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.
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NY
03/01/2021 - Present
Middlegate Securities Inc. (NEW YORK NY)
NY
09/18/2015 - 03/01/2021
ADVISORS ASSET MANAGEMENT, INC. (NEW YORK NY)
FL
03/09/2015 - 08/10/2015
INCAPITAL LLC (DELRAY BEACH FL)
IL
09/02/2011 - 03/10/2015
BMO CAPITAL MARKETS CORP. (CHICAGO IL)
IL
09/02/2011 - 03/10/2015
BMO CAPITAL MARKETS GKST INC. (CHICAGO IL)
CO
06/04/2010 - 09/21/2011
ALPS DISTRIBUTORS, INC. (DENVER CO)
NY
08/03/2005 - 06/12/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 12/02/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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