Ken Raphael
Professional Summary
Ken Raphael, who also goes by Kenneth Raphael, was a registered financial advisor. Ken was a previously registered financial professional and started their career in finance 1984 - 2000. Ken had worked at 5 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kenneth Raphael
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
FIMAT FUTURES USA, INC. | NEWEDGE USA, LLC | FIMAT USA, LLC | FIMAT USA, INC.
Contact Information
Established
Delaware since 01/01/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE GROUP | 100% OWNER OF NEWEDGE USA, LLC - CLASS A AND CLASS C MEMBER | — |
| BABULE, ANTOINE JULIEN | CEO | 5778863 |
| BOND, ROBERT | HEAD OF FFOE & FI NEW YORK | 4121948 |
| COHEN, ADAM MICHAEL | HEAD OF US INSTITUTIONAL SALES PCS | 2560856 |
| CULLEN, EDWARD PATRICK | CHIEF FINANCIAL OFFICER AMERICAS/FINOP | 1551615 |
| DAVY, STEPHEN P | HEAD OF IT | 5644503 |
| EICKBUSH, GREGORY FRANCIS | HEAD OF OPERATIONS, AMERCIAS | 2533204 |
| GAUGHAN, SUSAN KATHLEEN | REGISTERED OPTIONS PRINCIPAL AND BRANCH MANAGER CHICAGO | 2530985 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| LOPRESTI, JOHN | HEAD OF SECURITIES OPERATIONS AMERICAS | 1999981 |
| MURPHY, ANGELIQUE REGINA | GLOBAL CHIEF OPERATING OFFICER ACTING AMERICAS HEAD OF FFOE & FI | 2355417 |
| PIETANZA, ELIZABETH CATHERINE | BRANCH MANAGER, NEW YORK | 2192911 |
| RICHTER, DAVID JAMES | HEAD OF US HIGH FREQUENCY SALES PCS | 1853383 |
| SARGENT, JEFFREY JOSEPH | HEAD OF SECURITIES COMPLIANCE AMERICAS | 2648637 |
Disclosures
Regulatory Event
60Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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