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EC

Eve K. Chaikin

CRD#: 2487820
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EC
Eve Katherine Chaikin

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.

Eve Katherine Chaikin, who also goes by Katherine Eve Chaikin, was a registered financial professional .

Eve is a previously registered financial professional and started their career in finance in 1994. Eve had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katherine Eve Chaikin

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

September 8, 2014 - March 31, 2017

LARRAINVIAL SECURITIES US LLC

BD
CRD#: 152424
NEW YORK, NY
Past

June 13, 2008 - December 9, 2008

BANIF SECURITIES INC

BD
CRD#: 38913
MIAMI, FL
Past

May 9, 2007 - June 13, 2008

IXE SECURITIES, LLC

BD
CRD#: 19920
NEW YORK, NY
Past

May 3, 2004 - November 29, 2005

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

January 2, 2004 - April 5, 2004

BNY DIRECT EXECUTION INC.

BD
CRD#: 29598
NEW YORK, NY
Past

July 16, 2003 - December 19, 2003

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI
Past

April 3, 2002 - March 12, 2003

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

May 1, 2001 - March 22, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

March 1, 2000 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

July 10, 1998 - March 14, 2000

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

November 26, 1996 - June 26, 1998

BBVA SECURITIES INC.

BD
CRD#: 27060
NEW YORK, NY
Past

September 1, 1994 - October 8, 1996

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, 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: 6/29/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 7/8/2002
Limited Representative-Equity Trader Exam

Current Firm

LS
LARRAINVIAL SECURITIES US LLC
LARRAINVIAL SECURITIES US LLC

CRD#: 152424 / SEC#: , 8-68452

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

Main Address
El Bosque Norte 0177, Las Condes Santiago 7550100
Mailing Address
400 Madison Avenue Suite 5c, New York, NY 10017
Phone number
562 2339-8562
Established
Delaware since 11/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
LARRAIN VIAL SPAMANAGING MEMBER
CHIN, PHYLLIS NYUK FAHFINOP6250921
LARRAIN, CLAUDIO PATRICIOCEO5742665
MATTIELLI, LOUIS DOMENICCHIEF COMPLIANCE OFFICER1074096
VEGA, SEBASTIAN P.CO-CCO7567081

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

LARRAINVIAL SECURITIES US LLC

CRD#: 152424

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