Reinhard B. Koester

BROADHAVEN SECURITIES LLC

New York, NY 10017

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CRD#: 2945210

Professional summary

Reinhard Berthold Koester is a registered financial professional currently at BROADHAVEN SECURITIES LLC located in New York, New York.

Reinhard is registered as a RR (Registered Representative) and started their career in finance in 1997. Reinhard has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

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) - BD

Click below to view Reinhard Berthold Koester's CRS (Customer Relationship Summary).

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

Current

December 7, 2020 - Present

BROADHAVEN SECURITIES LLC

Office #1: 330 Madison Ave 28th Floor, New York, NY 10017

CRD#: 157804

New York, NY

Past

September 27, 2017 - November 25, 2020

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

NEW YORK, NY

Past

June 12, 2015 - September 18, 2017

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

November 18, 2010 - May 7, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 6, 2004 - December 10, 2010

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

November 10, 1997 - February 19, 2003

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/7/2020)

Connecticut
(12/7/2020)

Florida
(12/7/2020)

Georgia
(12/7/2020)

Illinois
(12/7/2020)

Kansas
(12/7/2020)

New Hampshire
(12/7/2020)

New York
(12/7/2020)

North Carolina
(12/7/2020)

Ohio
(12/8/2020)

Pennsylvania
(12/7/2020)

Exams

State Security Law Exam

Series 63

Date: 12/23/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BROADHAVEN SECURITIES LLC

CRD#: 157804 / SEC#: , 8-68862

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

155 North Wacker Suite 4440, Chicago, IL 60606

Mailing Address

155 North Wacker Suite 4440, Chicago, IL 60606

Phone number

(312) 621-9801

Established

Delaware since 04/04/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BROADHAVEN CAPITAL PARTNERS, LLC	OWNER
LOCKWOOD, MEGHAN EILEEN	CFO/FINOP	4474368
PHILLIPS, GREGORY ALLEN	CEO/CCO/AMLCO/ER	3269223
VON DOHLEN, GERARD NICHOLAS JR.	PRINCIPAL	2914891

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.

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Reinhard B. Koester

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Reinhard Berthold Koester's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOULIHAN LOKEY CAPITAL, INC.

BARCLAYS CAPITAL INC.

J.P. MORGAN SECURITIES LLC

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/23/2010

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/25/1997

Series 24

Date: 1/19/2007

FINRA

Current Firm

BROADHAVEN SECURITIES LLC

Contact information

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BROADHAVEN SECURITIES LLC

TRUST BUT VERIFY

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