Kenneth C. Mak
Professional summary
Kenneth C Mak, who also goes by Ken C Mak, is a registered financial professional currently at BTIG, LLC located in San Francisco, California.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2007. Kenneth has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth C Mak's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 7, 2023 - Present
BTIG, LLC
Office #1: 350 Bush Street 9th Floor, San Francisco, CA 94104March 16, 2018 - November 3, 2022
BNP PARIBAS SECURITIES CORP.
August 19, 2008 - July 19, 2018
BNP PARIBAS PRIME BROKERAGE, INC.
July 19, 2007 - October 1, 2008
BANC OF AMERICA 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
(2/7/2023)
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(2/7/2023)
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(10/24/2024)
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(2/7/2023)
Exams
Series 79TO
Date: 2/17/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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