Kalani Cruz
Professional summary
Kalani Cruz is a registered financial professional currently at WESTMINSTER RESEARCH ASSOCIATES LLC located in New York, New York.
Kalani is registered as a RR (Registered Representative) and started their career in finance in 2003. Kalani has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kalani Cruz's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2018 - Present
WESTMINSTER RESEARCH ASSOCIATES LLC
Office #1: 22 Vanderbilt Avenue 20 Floor, New York, NY 10017December 2, 2009 - July 2, 2018
BLOOMBERG TRADEBOOK LLC
May 18, 2004 - December 23, 2009
COWEN EXECUTION SERVICES LLC
August 11, 2003 - May 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/16/2018)
Exams
FINRA
Current Firm
WESTMINSTER RESEARCH ASSOCIATES LLC
CRD#: 14508 / SEC#: , 8-28900
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN EXECUTION HOLDCO LLC | DIRECT PARENT | |
| BOWEN-FARSEWICZ, MELISSA ANN | PRINCIPAL FINANCIAL OFFICER AND FINOP | 6022667 |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1281617 |
| TISCORNIA, CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2836418 |
Disclosures
| Regulatory Event | 1 |
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