David L. Kugel

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CRD#: 276298

Professional summary

David L Kugel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, David had worked at 1 firm, which includes BERNARD L. MADOFF INVESTMENT SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

April 8, 1970 - July 7, 2009

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

CRD#: 2625

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

BERNARD L. MADOFF | MADOFF, BERNARD LAWRENCE | BERNARD L. MADOFF INVESTMENT SECURITIES LLC

CRD#: 2625 / SEC#: 801-67134, 8-8132

RIA

Registered Investment Advisory firm - SEC (9/12/2006 Approved)

Approved by SEC on 01/19/1960

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 55

Date: 1/19/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 1

Date: 5/19/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/1999

General Securities Principal Examination

Current Firm

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

BERNARD L. MADOFF | MADOFF, BERNARD LAWRENCE | BERNARD L. MADOFF INVESTMENT SECURITIES LLC

CRD#: 2625 / SEC#: 801-67134, 8-8132

RIA

Registered Investment Advisory firm - SEC (9/12/2006 Approved)

Approved by SEC on 01/19/1960

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Contact information

Main Address

885 Third Avenue, New York, NY 10022

Mailing Address

Phone number

(212) 230-2424

Established

New York since 01/01/2001

Firm type

Limited Liability Company

Fiscal year end

October

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MADOFF, BERNARD LAWRENCE	SOLE MEMBER/PRINCIPAL	316687
MADOFF, PETER BARNETT	SENIOR MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER	316688

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 17,091,640,696

Disclosures

Regulatory Event	9
Civil Event	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David L. Kugel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

Primary Firm SEC Registration

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 55

Date: 1/19/1999

Series 1

Date: 5/19/1969

Series 24

Date: 12/1/1999

Current Firm

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

TRUST BUT VERIFY

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