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HK

Harris A. Kiperman

Some features on this profile are disabled
CRD#: 2396075
HK

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.

Harris Avrum Kiperman, who also goes by Harris Arron Kiperman, Harris Avron Kiperman, was a registered financial professional .

Harris is a previously registered financial professional and started their career in finance in 1993. Harris had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harris Arron Kiperman | Harris Avron Kiperman

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

June 22, 2016 - August 11, 2017

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
MELVILLE, NY
Past

September 3, 2014 - June 29, 2016

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
COLUMBIA, MD
Past

September 9, 2010 - September 5, 2012

MCBARRON CAPITAL LLC

BD
CRD#: 131431
NEW YORK, NY
Past

May 13, 2009 - September 10, 2010

INTERMERCHANT SECURITIES LLC

BD
CRD#: 142734
NEW YORK, NY
Past

November 28, 2006 - June 2, 2009

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

August 14, 2002 - December 8, 2006

GRANTA CAPITAL GROUP LLC

BD
CRD#: 114657
NEW YORK, NY
Past

June 4, 2001 - August 21, 2002

THE THORNWATER COMPANY, L.P.

BD
CRD#: 36195
NEW YORK, NY
Past

October 23, 2000 - May 11, 2001

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

May 12, 1998 - November 17, 2000

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

July 12, 1995 - March 27, 1998

FAIRCHILD FINANCIAL GROUP, INC.

BD
CRD#: 21404
NEW YORK, NY
Past

October 22, 1993 - July 19, 1995

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, 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: 11/20/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/11/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/12/1995
General Securities Principal Examination

Current Firm

L&
LAIDLAW & COMPANY (UK) LTD.
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

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

Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZ
Mailing Address
521 5th Avenue 12th Fl, New York, NY 10175
Phone number
(212) 697-5200
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
LAIDLAW HOLDINGS LTDOWNER
BELLO, JAMES ALANCCO2844016
DAPONTE, ARTHUR JARRODFINOP7801577
EITNER, MATTHEW DCHIEF EXECUTIVE OFFICER3267261
REGAN, HUGHDIRECTOR - INVESTMENT BANKING1254114
SILVERMAN, PETER HOWARDSEO/BRANCH MANAGER1239510

Disclosures

Regulatory Event10
Arbitration4

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

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

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