KM
Kenneth D. Moelis
MOELIS & COMPANY LLC
Beverly Hills, CA
Some features on this profile are disabled
CRD#: 1015047
KM
Professional summary
Kenneth David Moelis, who also goes by Ken Moelis, is a registered financial professional currently at MOELIS & COMPANY LLC located in Beverly Hills, California.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1990. Kenneth has worked at 6 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ken Moelis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth David Moelis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 13, 2007 - Present
MOELIS & COMPANY LLC
Office #3: 10100 Santa Monica Blvd Suite 1600, Los Angeles, CA 90067BD
CRD#: 145115
Beverly Hills, CA
Past
July 2, 2007 - December 19, 2007
MERCANTI SECURITIES, LLC
BD
CRD#: 120967
LOS ANGELES, CA
Past
March 22, 2001 - July 20, 2007
UBS SECURITIES LLC
BD
CRD#: 7654
LOS ANGELES, CA
Past
November 3, 2000 - December 19, 2000
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
February 13, 1991 - December 18, 2000
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
January 3, 1990 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/1/2008)
RR
Alaska(1/2/2008)
RR
Arizona(1/14/2008)
RR
Arkansas(2/7/2008)
RR
California(12/13/2007)
RR
Colorado(1/18/2008)
RR
Connecticut(1/11/2008)
RR
Delaware(1/17/2008)
RR
District of Columbia(1/8/2008)
RR
Florida(2/4/2008)
RR
Georgia(1/18/2008)
RR
Hawaii(4/14/2008)
RR
Idaho(1/2/2008)
RR
Illinois(2/8/2008)
RR
Indiana(1/10/2008)
RR
Iowa(1/7/2008)
RR
Kansas(2/4/2008)
RR
Kentucky(1/3/2008)
RR
Louisiana(1/11/2008)
RR
Maine(3/13/2008)
RR
Maryland(1/29/2008)
RR
Massachusetts(1/1/2008)
RR
Michigan(1/10/2008)
RR
Minnesota(1/2/2008)
RR
Mississippi(1/7/2008)
RR
Missouri(1/7/2008)
RR
Montana(3/6/2008)
RR
Nebraska(2/29/2008)
RR
Nevada(1/15/2008)
RR
New Hampshire(1/8/2008)
RR
New Jersey(2/14/2008)
RR
New Mexico(1/29/2008)
RR
New York(1/15/2008)
RR
North Carolina(1/16/2008)
RR
North Dakota(1/7/2008)
RR
Ohio(1/7/2008)
RR
Oklahoma(1/4/2008)
RR
Oregon(3/14/2008)
RR
Pennsylvania(1/9/2008)
RR
Puerto Rico(1/31/2008)
RR
Rhode Island(1/15/2008)
RR
South Carolina(1/8/2008)
RR
South Dakota(1/3/2008)
RR
Tennessee(5/8/2008)
RR
Texas(2/29/2008)
RR
Utah(1/7/2008)
RR
Vermont(2/1/2008)
RR
Virginia(1/11/2008)
RR
Washington(1/2/2008)
RR
West Virginia(1/3/2008)
RR
Wisconsin(1/10/2008)
RR
Wyoming(1/3/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
M&
MOELIS & COMPANY LLC
MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY
CRD#: 145115 / SEC#: , 8-67705
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
399 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
399 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 883-3800
Established
Delaware since 06/12/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
