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Detailed Report
KEVIN THOMAS FORRESTER
CRD#: 4094887
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
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
2000200120022003200420052006200720082009IAKOVACK ADVISORS, INC. (CRD# 140808)2006 - 2007 (<1 year)IALINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2004 - 2006 (1 year)IALINCOLN FINANCIAL ADVISORS COR... (CRD# 3978)2000 - 2004 (3 years)
Disclosure(s)
View By:
4/22/2008
Regulatory
Final
5/24/2007
Criminal
Final Disposition
3/7/2007
Regulatory
Final
Previous Registration(s)
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IA
 10/26/2006 - 03/22/2007 KOVACK ADVISORS, INC. (CRD#:140808) PHOENIX, MD
IA
 12/16/2004 - 10/11/2006 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) PHOENIX, MD
IA
 07/21/2000 - 04/30/2004 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) LUTHERVILLE, MD
For additional information about investment advisers or broker-dealers, please visit
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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.