Individual Firm
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KEVIN P FAY
KEVIN PATRICK FAY
CRD#: 2144853
IA
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WELLS FARGO ADVISORSCRD#: 19616 461 FROM RD STE 101
PARAMUS, NJ 07652
PARAMUS, NJ 07652
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6/18/2008
Employment Separation After Allegations
State Registrations
B
Alaska 4/6/2022
B
Nevada 5/6/2024
B
California 6/25/2020
B
New Jersey 6/24/2020
B
Delaware 6/30/2020
IA
New Jersey 6/24/2020
B
Florida 6/25/2020
B
New York 6/24/2020
B
Georgia 6/24/2020
B
South Carolina 7/6/2020
B
Kentucky 6/24/2020
B
Virginia 6/24/2020
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/24/2020
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Registered with this firm since 6/24/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/01/2008 - 07/08/2020 | SADDLE BROOK, NJ | |
B | 07/25/2008 - 07/08/2020 | SADDLE BROOK, NJ | |
IA | 04/02/2007 - 07/17/2008 | FAIRFIELD, NJ | |
B | 04/02/2007 - 07/17/2008 | FAIRFIELD, NJ | |
IA | 06/23/2008 - 06/26/2008 | PARAMUS, NJ | |
B | 06/23/2008 - 06/26/2008 | PARAMUS, NJ | |
IA | 06/13/2002 - 04/02/2007 | FAIRFIELD, NJ | |
B | 07/08/1991 - 04/02/2007 | FAIRFIELD, NJ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.