Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Horgan is a financial professional with over 25 years of experience in the securities industry. Kevin is currently registered with Cantor Fitzgerald & Co. and holds Series 3, 7, 9, 10, 24, 63, and SIE licenses. Kevin is also a registered representative in 14 states including California, Connecticut, Delaware, Hawaii, Illinois, Iowa, Massachusetts, Minnesota, New Jersey, New York, Pennsylvania, Texas, Utah, and Washington. Previously, Kevin was registered with Jonestrading, BTIG, LLC, Seton Securities Group, Inc., Mercator Associates, LLC, Jefferies & Company, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Lehman Brothers 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.
1
2
NY
05/13/2016 - Present
Cantor Fitzgerald & Co. (NEW YORK NY)
HI
09/02/2010 - 04/18/2016
JONESTRADING (HANALEI HI)
CA
01/05/2009 - 06/22/2010
BTIG, LLC (SAN FRANCISCO CA)
HI
11/11/2004 - 01/30/2009
SETON SECURITIES GROUP, INC. (HONOLULU HI)
NA
06/10/2004 - 11/20/2004
MERCATOR ASSOCIATES, LLC (TORONTO )
NY
07/23/2003 - 05/04/2004
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
06/24/1994 - 12/20/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/24/1992 - 05/17/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 01/29/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2011
Series 24 - General Securities Principal Examination
BC
Issued 02/19/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/19/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1998
Series 3 - National Commodity Futures Examination
BC
Issued 12/21/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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