Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Ecclesine is a financial advisor registered with Imperial Capital, LLC and has been active in the industry since March 3, 1987. Kevin has passed the Series 63, Series 24, Series 8, SIE, Series 3, Series 7, and Series 6 exams. Kevin is registered in 19 states including California, Colorado, Connecticut, Florida, Illinois, Kansas, Massachusetts, Minnesota, Missouri, New Jersey, New Mexico, New York, Ohio, Oklahoma, Pennsylvania, Rhode Island, Texas, Utah, and Wisconsin. Kevin previously worked at UBS Securities LLC, CRT Capital Group LLC, FEP Investments LLC, Lehman Brothers Inc., Schroder Wertheim & Co. Incorporated, Tucker Anthony Incorporated, Freeman Securities Company, Inc., E. F. Hutton & Company Inc., Robert W. Baird & Co. Incorporated, and NML Equity Services, Inc.
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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2
CT
04/01/2015 - Present
Imperial Capital, LLC (Stamford CT)
MA
05/06/2010 - 12/03/2014
UBS SECURITIES LLC (BOSTON MA)
CT
09/01/2009 - 04/14/2010
CRT CAPITAL GROUP LLC (STAMFORD CT)
MA
01/08/2009 - 03/30/2009
FEP INVESTMENTS LLC (BOSTON MA)
MA
03/22/1996 - 12/14/2007
LEHMAN BROTHERS INC. (BOSTON MA)
NY
05/03/1993 - 04/03/1996
SCHRODER WERTHEIM & CO. INCORPORATED (NEW YORK NY)
MA
11/14/1988 - 05/04/1993
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NA
02/26/1988 - 10/18/1988
FREEMAN SECURITIES COMPANY, INC.
NA
10/13/1987 - 05/06/1988
E. F. HUTTON & COMPANY INC
NA
03/19/1985 - 09/15/1987
ROBERT W. BAIRD & CO. INCORPORATED
NA
02/26/1985 - 08/03/1987
NML EQUITY SERVICES, INC.
BC
Issued 04/15/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2008
Series 24 - General Securities Principal Examination
BC
Issued 04/28/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1987
Series 3 - National Commodity Futures Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
BC
Issued 02/25/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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