Kevin McCormick, financial advisor Wheaton IL
65 score

Kevin McCormick

CRD Number: 6220660
Current Firm: First Trust Advisors LP

Kevin McCormick (CRD# 6220660) is an Investment Advisor Representative working at First Trust Advisors LP in Wheaton, IL and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
First Trust Portfolios L. P. Wheaton, IL Jun 2013 - Current 3
Lee Company Franklin, TN Apr 2012 - Jun 2013 1
Nivek Industries, Inc. Franklin, TN Nov 2008 - Dec 2012 4
Lee Company Franklin, TN Apr 2011 - Nov 2011 < 1
Peerless Industries, Inc. Melrose Park, IL Apr 2002 - Dec 2008 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Kevin C. McCormick
Phone Number: 630-765-8000
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    104,224
    MILLIONS
  • Total Number of Accounts
    4,116
    ACCOUNTS
  • Average Account Value
    $25,321,679
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
65

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