Individual Firm
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Kevin James Burton
CRD#: 3014069
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 5425 Page Road
Suite 220
Durham, NC 27703
Suite 220
Durham, NC 27703
0
Disclosures
15
Years of Experience
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State Registrations
B
Georgia 1/19/2024
B
Tennessee 3/11/2025
B
North Carolina 5/16/2023
B
Virginia 5/16/2023
IA
North Carolina 5/22/2023
B
Wisconsin 12/5/2023
B
South Carolina 5/16/2023
SRO Registrations
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IA
Registered with this firm since 5/22/2023
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Registered with this firm since 5/16/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/27/2021 - 04/26/2023 | PORTLAND, ME | |
IA | 09/01/2015 - 02/19/2021 | CORNELIUS, NC | |
IA | 09/26/2013 - 08/25/2015 | MOORESVILLE, NC | |
B | 09/26/2013 - 08/25/2015 | MOORESVILLE, NC | |
B | 12/08/2011 - 08/16/2013 | DAVIDSON, NC | |
IA | 01/26/2012 - 08/14/2013 | DAVIDSON, NC | |
IA | 06/01/2011 - 11/22/2011 | CORNELIUS, NC | |
IA | 02/02/2011 - 05/31/2011 | CORNELIUS, NC | |
B | 01/22/2010 - 05/31/2011 | CORNELIUS, NC | |
IA | 04/28/2010 - 02/02/2011 | HOLBROOK, NY | |
B | 03/18/1998 - 10/29/1998 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.