Steven Klopukh
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.
Steven Klopukh, CFA was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2020 - October 21, 2025
THORNBURG SECURITIES LLC
March 15, 2010 - October 28, 2020
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
July 30, 2003 - June 11, 2008
RCM DISTRIBUTORS LLC
April 10, 2001 - December 20, 2001
NATIXIS DISTRIBUTION, LLC
March 23, 2000 - April 9, 2001
FUNDS DISTRIBUTOR, LLC
August 11, 1997 - June 28, 1999
MORGAN STANLEY & CO. LLC
September 26, 1994 - September 10, 1996
RYAN BECK & CO.
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
Current Firm
THORNBURG SECURITIES LLC
CRD#: 14857 / SEC#: , 8-31249
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THORNBURG INVESTMENT MANAGEMENT INC | SOLE MEMBER | 106357 |
| BHATT, NIMISH SANJAY | TREASURER, PRINCIPAL FINANCIAL OFFICER | 2789977 |
| BROWNELL, JESSE RYAN | GLOBAL HEAD OF DISTRIBUTION | 5511918 |
| CALLOW, AMY | SECRETARY | |
| HOLLOWAY, CURTIS EDWARD | PRINCIPAL OPERATIONS OFFICER | 5130594 |
| OLEXSAK, RONALD | CHIEF COMPLIANCE OFFICER | 2858575 |
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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