Comin N. Kafes
Professional summary
Comin Nicholas Kafes, who also goes by Lomin Nick Kafes, Nicholas Comin Kafes, Nick Kafes, is a registered financial professional currently at BLOOMBERG TRADEBOOK LLC located in New York, New York and BLOOMBERG TRADEBOOK CANADA COMPANY located in New York, New York.
Comin is registered as a RR (Registered Representative) and started their career in finance in 2000. Comin has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Comin Nicholas Kafes's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 27, 2022 - Present
BLOOMBERG TRADEBOOK LLC
Office #1: 731 Lexington Ave, New York, NY 10022May 15, 2023 - Present
BLOOMBERG TRADEBOOK CANADA COMPANY
Office #1: 731 Lexington Ave, New York, NY 10022August 2, 2021 - September 30, 2022
SEAPORT GLOBAL SECURITIES LLC
January 5, 2015 - April 9, 2021
TULLETT PREBON FINANCIAL SERVICES LLC
June 4, 2008 - January 5, 2015
W.A. CAPITAL MARKETS
July 26, 2007 - May 2, 2008
BANC OF AMERICA SECURITIES LLC
February 3, 2006 - June 1, 2006
MCFADDEN, FARRELL & SMITH, L.P.
September 28, 2004 - September 14, 2005
MCFADDEN, FARRELL & SMITH, L.P.
October 2, 2002 - August 27, 2004
MCFADDEN, FARRELL & SMITH, L.P.
August 27, 2002 - September 30, 2002
EQUITABLE ADVISORS, LLC
May 9, 2000 - March 1, 2002
CREDIT SUISSE SECURITIES (USA) 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
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Exams
FINRA
Current Firm
BLOOMBERG TRADEBOOK CANADA COMPANY
CRD#: 313267 / SEC#: , 8-70683
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOMBERG CANADA LLC | SOLE SHAREHOLDER | |
| BENDER, GREGORY | DIRECTOR | 5601000 |
| BRIDGEFORD, SOH HYONG | CHIEF COMPLIANCE OFFICER | 7114514 |
| KAPLAN, PAUL WILLIAM | PRESIDENT, DIRECTOR | 4092439 |
| MILHAM, CHRISTOPHER MICHAEL | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 3092157 |
| SANTORE, RICHARD RAYMOND III | DIRECTOR | 4978129 |
Red Flags
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