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KEVIN DEE KUNZ
CRD#: 1274540
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has barred this individual from engaging in certain activities. Please see the detailed report for additional information.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
1996199820002002200420062008201020122014IAINVESTMENT MANAGEMENT CORPORATION (CRD# 37196)1995 - 2007 (12 years)
Disclosure(s)
View By:
6/18/2013
Regulatory
Final
9/28/2011
Customer Dispute
Award / Judgment
3/9/2011
Regulatory
Final
10/2/2009
Regulatory
Final
3/7/2008
Customer Dispute
Award / Judgment
1/19/2007
Regulatory
Final
11/8/2001
Regulatory
Final
8/21/1996
Regulatory
Final
Previous Registration(s)
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IA
03/15/1995 - 12/31/2007 INVESTMENT MANAGEMENT CORPORATION (CRD#:37196) SANDY, UT
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.