Kevin K. Hull

Kevin K. Hull

Experienced Securities Attorney for Broker-Dealers, Investment Advisers, Registered Reps and Investors
  • Arbitration & Mediation, Business Law, Securities Law...
  • California, Massachusetts, New York
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Summary

Kevin K. Hull is an experienced securities lawyer who benefits clients with his multifaceted background from multiple positions in the securities industry, regulation and law since 1988. Prior to reentering private practice, Mr. Hull was the CEO of Grubb & Ellis Securities, Inc., a position he held for nearly six years. Responsible for all aspects of the firm, including compliance, accounting, national accounts and sales management, Mr. Hull was successful in managing the structure and operations of the firm to be in line with current regulatory expectations while achieving sales during his tenure of approximately $3.4 billion across multiple product lines. Prior to assuming his executive role with Grubb & Ellis, Mr. Hull was associated with Dechert LLP and Kirkpatrick & Lockhart, both large international law firms where his practice centered on providing service to investment advisers and broker-dealers in the areas of compliance, registration, disclosure, customer complaints and investigations, regulation and enforcement in addition to advertising and product operations and sales practices. Mr. Hull's career in the securities industry began in 1988 as an associate compliance examiner for FINRA Los Angeles, which was followed by six years as COO and CFO of an independent broker-dealer. While in law school in Washington, D.C., Mr. Hull served in the FINRA Enforcement Department and in the Divisions of Enforcement and Investment Management at the U.S. Securities and Exchange Commission. Mr. Hull previously held multiple securities designations including the Series 7, 24, 27, 53, 4, 63 and 65. He is a member of the SIFMA Compliance and Legal Division and the National Society of Compliance Professionals and is a graduate of The Catholic University of America (J.D., cum laude, 1999) and Cal State Fullerton (B.A., finance, 1988). Mr. Hull is admitted to practice law in California, New York and Massachusetts.

Practice Areas
  • Arbitration & Mediation
  • Business Law
  • Securities Law
  • Stockbroker & Investment Fraud
Additional Practice Areas
  • Broker-Dealer Law
  • Investment Adviser Law
Jurisdictions Admitted to Practice
California
Massachusetts
New York
U.S. Supreme Court
Professional Experience
Solo Practitioner
Broker-Dealer Law Group
- Current
Partner
Hull Evans & Kob LLP
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CEO and President
Grubb & Ellis Securities, Inc.
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Associate
Dechert LLP
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Associate
Kirkpatrick & Lockhart LLP
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Law Clerk
Wilmer Cutler & Pickering
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Law Clerk
U.S. Securities and Exchange Commission (SEC)
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Legal Intern
FINRA / NASD Regulation (Enforcement)
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Chief Operating Officer and Chief Financial Officer
Vanguard Capital (broker-dealer)
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Associate Compliance Examiner
National Association of Securities Dealers (NASD) (n/k/a FINRA)
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Education
The Catholic University of America Columbus School of Law
J.D. (1999) | Securities Law
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Honors: Graduated Cum Laude; Dean's Award 1998-99; Extra Mile Award 1998-99; First Lap Award 1996-97
Activities: Securities Law Student Association President 1998-99; Member 1996-99; Moot Court Associate; Delta Theta Phi Law Fraternity; Student Bar Association 3rd Year Social Chair 1998-99
California State University - Fullerton
B.A. (1988) | Business Administration - Finance
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Honors: Wall Street Journal Student Award; Beta Gamma Sigma National Honor Society; Financial Managment Association National Honor Society; Dean's List - Spring 1988, Fall 1987, Spring 1987, Fall 1986, Spring 1985; Award Finalist - Outstanding Student Award and Stephen J. Barres Leadership Award
Activities: Finance Association Treasurer, Spring 1988; Outstanding Member, Fall 1987
Professional Associations
Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Division
Member
Current
Real Estate Investment Securities Association (REISA)
Member
Current
National Society of Compliance Professionals (NSCP)
Member
Current
California State Bar # 210260
Member
- Current
Websites & Blogs
Website
Website
Social Media
Contact & Map
Broker-Dealer Law Group
9891 Irvine Center Dr Ste 200
Irvine, CA 92618
USA
Cell: (949) 478-4855