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Detailed Report
Kevin Patrick Mooney
Kevin Mooney
CRD#: 3023321
IA
Investment Adviser
B
Broker
AE WEALTH MANAGEMENT, LLCCRD#: 282580 Las Vegas, NV
MADISON AVENUE SECURITIES, LLCCRD#: 23224 Las Vegas, NV
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (<1 year)2 FIRMS2024 - Present (<1 year)BTHE NEW PENFACS INC. (CRD# 145584)2023 - 2024 (1 year)BTHE LEADERS GROUP, INC. (CRD# 37157)2023 - 2023 (<1 year)BTHE NEW PENFACS INC. (CRD# 145584)2015 - 2023 (8 years)BTHE LEADERS GROUP, INC. (CRD# 37157)2012 - 2015 (2 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2003 - 2005 (2 years)BPUTNAM RETAIL MANAGEMENT LIMIT... (CRD# 7325)2001 - 2002 (1 year)BWINSLOW, EVANS & CROCKER, INC. (CRD# 29686)1999 - 2001 (1 year)BJOHN HANCOCK DISTRIBUTORS, INC. (CRD# 468)1998 - 1998 (<1 year)IATLG ADVISORS, INC. (CRD# 111052)2014 - 2015 (<1 year)IADUNHAM & ASSOCIATES INVESTMENT... (CRD# 13162)2011 - 2012 (1 year)IAJAGEN INVESTMENTS, LLC (CRD# 148607)2011 - 2011 (<1 year)IACOMPASS CAPITAL ASSET MANAGEMENT (CRD# 13787)2004 - 2005 (1 year)
License(s)

State Registrations

B
Nevada 6/26/2024
IA
Nevada 8/22/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AE WEALTH MANAGEMENT, LLC (CRD#:282580)
Las Vegas, NV
Registered with this firm since 8/22/2024
B
MADISON AVENUE SECURITIES, LLC (CRD#:23224)
Las Vegas, NV
Registered with this firm since 6/26/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/16/2023 - 05/03/2024 THE NEW PENFACS INC. (CRD#:145584) Southborough, MA
B
 03/09/2023 - 05/10/2023 THE LEADERS GROUP, INC. (CRD#:37157) LITTLETON, CO
B
 01/16/2015 - 02/21/2023 THE NEW PENFACS INC. (CRD#:145584) Southborough, MA
IA
 05/09/2014 - 01/06/2015 TLG ADVISORS, INC. (CRD#:111052) THE WOODLANDS, TX
B
 11/20/2012 - 01/06/2015 THE LEADERS GROUP, INC. (CRD#:37157) LAS VEGAS, NV
IA
 05/25/2011 - 09/18/2012 DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC. (CRD#:13162) RENO, NV
IA
 02/15/2011 - 05/24/2011 JAGEN INVESTMENTS, LLC (CRD#:148607) HENDERSON, NV
IA
 11/09/2007 - 06/04/2008 INTERSECURITIES, INC. (CRD#:16164) LAS VEGAS, NV
B
 11/22/2007 - 06/04/2008 INTERSECURITIES, INC. (CRD#:16164) LAS VEGAS, NV
IA
 03/12/2004 - 11/22/2005 COMPASS CAPITAL ASSET MANAGEMENT (CRD#:13787) LAS VEGAS, NV
B
 10/13/2003 - 11/22/2005 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) CHARLOTTE, NC
B
 02/21/2001 - 07/02/2002 PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (CRD#:7325) BOSTON, MA
B
 12/09/1999 - 01/16/2001 WINSLOW, EVANS & CROCKER, INC. (CRD#:29686) BOSTON, MA
B
 05/29/1998 - 11/02/1998 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.