Kevin Kuhl Suspended by FINRA for Alleged Misconduct

Kevin Kuhl (CRD #: 6289249), a broker registered with Cetera Advisor Networks, has been suspended by FINRA, according to his BrokerCheck record, accessed on November 13, 2024. Investors may have also worked with him through Cetera Investment Advisers. Keep reading to learn more about his alleged conduct as a broker.

FINRA Suspension

On October 8, 2024, Kevin Kuhl consented to the entry of findings that he allegedly electronically signed documents on behalf of clients from January 2019 to April 2021.

According to a Letter of Acceptance, Waiver & Consent (AWC), Kevin Kuhl allegedly electronically signed 53 documents in total with the names of nine clients, with their permission. Five of these clients were allegedly seniors, and the AWC alleges that these documents included account applications and money movement forms.

In September 2020 and December 2021, Kevin Kuhl allegedly falsely attested on two LPL Financial compliance questionnaires that he had not signed or affixed another person’s signature on any documents.

The AWC concluded that these allegations constitute violations of FINRA Rules 2010 and 4511.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 4511

FINRA Rule 4511 requires that firms maintain accurate books and records.

Sanctions

Kevin Kuhl consented to the following sanctions:

• 2-month suspension from associating with FINRA members
• $5,000 fine

His suspension began on November 4, 2024, and will end on January 3, 2025. You can access the full AWC here.

Termination from LPL Financial

On June 17, 2022, Kevin Kuhl was fired from LPL Financial following allegations that he electronically signed accounts documents on his clients’ behalf.

Background Information

Kevin Kuhl has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Kevin Kuhl is a registered broker in 13 states and a registered investment adviser in Minnesota and Texas.

He has also worked for LPL Financial (CRD#:6413) and Investment Centers of America (CRD#:16443).

Kurta Law Can Help

If you worked with Kevin Kuhl and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.