Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Nugent is a Registered Representative and Investment Advisor Representative with Spectrum Asset Management, Inc. in Stamford, Connecticut. Kevin has been in the securities industry since 1993 and holds Series 3, 4, 7, 24, 57TO, 63, and 65 licenses. Kevin previously worked at Wachovia Securities, LLC, Prudential Securities Incorporated, Warburg Dillon Read LLC, Smith Barney Inc., and Lehman Brothers Inc. Kevin's specialization is in managing portfolios for businesses, individuals, investment companies, and pooled investment vehicles.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
1
2
CT
04/11/2023 - Present
Spectrum Asset Management, Inc. (STAMFORD CT)
MO
08/17/2001 - 01/07/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
04/19/1999 - 09/21/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/25/1998 - 04/21/1999
WARBURG DILLON READ LLC (NEW YORK NY)
NY
07/31/1993 - 08/27/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
04/16/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/21/1992 - 04/20/1993
RED ROCK TRADING INTERNATIONAL LTD.
NY
04/10/1989 - 06/06/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/16/1987 - 09/02/1988
GELDERMANN SECURITIES, INC.
IA
Issued 06/08/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/09/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/22/1992
Series 4 - Registered Options Principal Examination
BC
Issued 04/08/1992
Series 24 - General Securities Principal Examination
BC
Issued 06/14/2022
Series 57TO - Securities Trader Exam
BC
Issued 04/21/2022
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2013
Series 3 - National Commodity Futures Examination
BC
Issued 10/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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