Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KEVIN PATRICK HEGARTY
KEVIN HEGARTY
CRD#: 5110292
IA
Investment Adviser
B
Previous Broker
HEGARTY ADVISORS, LLCCRD#: 306342 1461 FRANKLIN AVE
GARDEN CITY, NY 11530
Registration History
20062008201020122014201620182020202220242026IAHEGARTY ADVISORS, LLC (CRD# 306342)2024 - Present (1 year)BUBS SECURITIES LLC (CRD# 7654)2016 - 2019 (3 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2006 - 2016 (10 years)IAHEGARTY ADVISORS, LLC (CRD# 306342)2021 - 2023 (2 years)
License(s)

State Registrations

IA
New York 1/5/2024
IA
Texas 10/28/2024
Current Registration(s)
IA
HEGARTY ADVISORS, LLC (CRD#:306342)
1461 FRANKLIN AVE, GARDEN CITY, NY 11530
Registered with this firm since 1/5/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/12/2021 - 12/31/2023 HEGARTY ADVISORS, LLC (CRD#:306342) GARDEN CITY, NY
B
 09/21/2016 - 11/06/2019 UBS SECURITIES LLC (CRD#:7654) NEW YORK, NY
B
 03/22/2006 - 09/22/2016 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
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.