Nir Kantor
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nir Kantor was a registered financial professional .
Nir is a previously registered financial professional and started their career in finance in 1991. Nir had worked at 2 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 1993 - February 10, 1995
DB ALEX. BROWN LLC
May 3, 1991 - April 29, 1993
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/25/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DB ALEX. BROWN LLC
CRD#: 17790 / SEC#: , 8-35766
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCHE BANK SECURITIES INC. | MEMBER | 2525 |
| BURGESS, ROBERT WILLIAM JR | MANAGER | 1665805 |
| CONNELLY, JOSEPH MICHAEL JR | MANAGER, CHIEF OPERATIONS OFFICER | 2010897 |
| DEBALMANN, YVES CHRISTIAN | MANAGER, CO-CHIEF EXECUTIVE OFFICER | 1675429 |
| GRISWOLD, BENJAMIN HOWELL IV | MANAGER, SENIOR CHAIRMAN | 230465 |
| JUSTINI, PETER THOMAS | CHIEF FINANCIAL OFFICER/ FINOP | 2097898 |
| KILEY, CHARLES F | MANAGER | 1918304 |
| LAIA, CHRISTOPHER PHILIP | CHIEF COMPLIANCE OFFICER | 2837101 |
| MASON, ALEXANDER TAYLOR | MANAGER | 1960682 |
| ROSS, JOHN ALAN | MANAGER | 1761238 |
| SCHWEIZER, THOMAS S JR | MANAGER | 416657 |
| SHATTUCK, MAYO A III | MANAGER, CO-CHIEF EXECUTIVE OFFICER | 1464321 |
| VIRTUE, JAMES EDWARD | MANAGER, PRESIDENT | 1236163 |
Disclosures
| Regulatory Event | 27 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
