Individual Firm
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KEVIN DAVID CALLAGY
Kevin David Callagy
CRD#: 3008571
IA
B
LPL FINANCIAL LLCCRD#: 6413 TAMPA, FL
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8/31/2009
Customer Dispute
Settled
12/2/2008
Customer Dispute
Denied
2/12/2002
Regulatory
Final
State Registrations
B
Florida 2/16/2022
B
New York 2/16/2022
IA
Florida 2/17/2022
SRO Registrations
B
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
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/27/2017 - 02/23/2022 | Clearwater, FL | |
B | 06/23/2017 - 02/23/2022 | Clearwater, FL | |
IA | 08/25/2016 - 06/26/2017 | TAMPA, FL | |
B | 08/01/2008 - 06/26/2017 | TEMPLE TERRACE, FL | |
IA | 03/31/2009 - 12/31/2016 | TEMPLE TERRACE, FL | |
B | 11/21/2003 - 08/12/2008 | TAMPA, FL | |
B | 06/13/2003 - 10/15/2003 | BOSTON, MA | |
IA | 05/24/2002 - 12/18/2002 | BRANDON, FL | |
B | 04/11/2002 - 12/18/2002 | FORT MILL, SC | |
B | 04/28/1999 - 04/12/2002 | PHILADELPHIA, PA | |
B | 07/06/1998 - 04/06/1999 | CHESTERFIELD, MO | |
B | 03/11/1998 - 07/13/1998 | DULUTH, GA |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.