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Scott Curtis

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CRD#: 1311358
SC

Professional summary

Scott Curtis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Scott is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Scott had worked at 3 firms, which includes KBD SECURITIES LLC, CREDIT AGRICOLE SECURITIES (USA) INC., KAUFMAN BROS. L.P..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 9, 2003 - April 12, 2006

KBD SECURITIES, LLC

BD
CRD#: 104110
NEW YORK, NY
Past

June 13, 2001 - August 1, 2003

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

July 25, 2000 - May 29, 2001

KAUFMAN BROS., L.P.

BD
CRD#: 37909
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/26/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/15/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/20/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/6/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/29/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/26/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/19/1998
Registered Options Principal Examination

Current Firm

KS
KBD SECURITIES, LLC
KBD SECURITIES, LLC

CRD#: 104110 / SEC#: , 8-52591

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
470 Park Avenue South 8th Floor South, New York, NY 10016
Mailing Address
470 Park Avenue South 8th Floor South, New York, NY 10016
Phone number
(914) 703-6904
Established
New York since 03/23/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HORIZON KINETICS, LLCPARENT COMPANY
BELL, CHRISTOPHER DUNCANCEO, CFO, DESIGNATED PRINCIPAL, FINOP1479836
DOYLE, JAMES GANNONCHIEF COMPLIANCE OFFICER & DESIGNATED PRINCIPAL4189586
KESSLEN, JAY HARRISGENERAL COUNSEL, SVP, AML OFFICER4335392
WILLIAMS, ALUN LOPERATIONS PROFESSIONAL4331633

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.

Company Information

KBD SECURITIES, LLC

CRD#: 104110

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