Terence G. Kawaja

LUMA SECURITIES LLC

New York, NY 10003

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CRD#: 1982614

Professional summary

Terence Gerard Kawaja is a registered financial professional currently at LUMA SECURITIES LLC located in New York, New York.

Terence is registered as a RR (Registered Representative) and started their career in finance in 1989. Terence has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 3, Series 27 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 Terence Gerard Kawaja'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®

None

Experience

Current

March 27, 2012 - Present

LUMA SECURITIES LLC

Office #1: 101 Fifth Avenue Suite 900, New York, NY 10003Office #2: 101 Fifth Avenue Suite 900, New York, NY 10003

CRD#: 157803

New York, NY

Past

January 17, 2011 - March 29, 2012

INTE SECURITIES LLC

CRD#: 47107

BOCA RATON, FL

Past

April 23, 2007 - January 7, 2011

HOULIHAN LOKEY ADVISORS, LLC

CRD#: 127835

NEW YORK, NY

Past

August 17, 2005 - February 22, 2007

GRIDLEY & COMPANY LLC

CRD#: 115706

NEW YORK, NY

Past

May 22, 2001 - May 1, 2002

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

December 11, 1997 - April 14, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 19, 1989 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

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

California
(1/7/2022)

New York
(11/16/2012)

Exams

State Security Law Exam

Series 63

Date: 2/2/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2005

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/14/1989

National Commodity Futures Examination

Principal/Supervisory Exam

Series 27

Date: 3/30/2006

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LUMA SECURITIES LLC

LUMA ADVISORS LLC | LUMA SECURITIES LLC

CRD#: 157803 / SEC#: , 8-68863

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

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Contact information

Main Address

101 Fifth Avenue Suite 900, New York, NY 10003

Mailing Address

101 Fifth Avenue Suite 900, New York, NY 10003

Phone number

(646) 786-8423

Established

Delaware since 08/24/2010

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
LUMA PARTNERS LLC	MANAGING MEMBER
BECK, RAFAEL	FINOP / CFO	5718571
KAWAJA, TERENCE GERARD	CEO/CCO	1982614

Red Flags

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Firm Stability Insights

Terence G. Kawaja

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Terence Gerard Kawaja's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTE SECURITIES LLC

HOULIHAN LOKEY ADVISORS, LLC

GRIDLEY & COMPANY LLC

CREDIT SUISSE SECURITIES (USA) LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/2/2006

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2005

Series 3

Date: 11/14/1989

Series 27

Date: 3/30/2006

Series 24

Date: 9/1/2005

FINRA

Current Firm

LUMA SECURITIES LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LUMA SECURITIES LLC

TRUST BUT VERIFY

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