Kenneth D. Perschetz

COHEN & COMPANY SECURITIES

New York, NY 10019

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CRD#: 1721610

Professional summary

Kenneth David Perschetz is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in New York, New York.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1987. Kenneth has worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Kenneth David Perschetz's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 2, 2012 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 3 Columbus Circle 24th Floor, New York, NY 10019

CRD#: 149758

New York, NY

Past

June 7, 2010 - April 3, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

November 19, 2009 - May 21, 2010

INTL FCSTONE CREDIT TRADING LLC

CRD#: 41025

NEW YORK, NY

Past

April 14, 2005 - November 2, 2006

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

October 24, 2001 - April 19, 2005

SANDLER, O'NEILL & PARTNERS, L.P.

CRD#: 23328

NEW YORK, NY

Past

June 10, 1994 - April 18, 2000

SANDLER, O'NEILL & PARTNERS, L.P.

CRD#: 23328

NEW YORK, NY

Past

April 14, 1994 - June 8, 1994

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

July 31, 1987 - March 30, 1994

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(4/12/2012)

Exams

State Security Law Exam

Series 63

Date: 11/19/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/2/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/12/1996

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758 / SEC#: , 8-68186

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

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Contact information

Main Address

3 Columbus Circle 24th Floor, New York, NY 10019

Mailing Address

3 Columbus Circle 24th Floor, New York, NY 10019

Phone number

(646) 792-5600

Established

Delaware since 12/05/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.	SOLE MEMBER
BRAFMAN, LESTER RAYMOND	CHIEF EXECUTIVE OFFICER	1895749
BURKLIN, STEPHAN GEORGE	EXECUTIVE VICE PRESIDENT	1808970
LISTMAN, DOUGLAS	CFO	5894307
VACCA, KATHARINE ELIZABETH	CHIEF COMPLIANCE OFFICER	1821586

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Kenneth D. Perschetz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth David Perschetz's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

INTL FCSTONE CREDIT TRADING LLC

NOMURA SECURITIES INTERNATIONAL, INC.

SANDLER, O'NEILL & PARTNERS, L.P.

SANDLER, O'NEILL & PARTNERS, L.P.

ALEX. BROWN & SONS INCORPORATED

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/19/2009

SIE

Date: 10/1/2018

Series 55

Date: 7/2/2002

Series 7

Date: 8/20/1988

Series 24

Date: 11/12/1996

FINRA

Nasdaq Stock Market

Current Firm

COHEN & COMPANY SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

COHEN & COMPANY SECURITIES, LLC

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