Kathy Efrem Sipinick
Professional Summary
Kathy Efrem Sipinick, who also goes by Kathy K Efrem, Kathy Efrem, Kathy Efrem Sipinick, is a registered financial advisor currently at NEAR EARTH, LLC located in New Canaan, Connecticut and EM SECURITIES LLC located in New York, New York. Kathy is registered as a RR (Registered Representative) and started their career in finance in 2000. Kathy has worked at 64 firms and has passed the Series 99TO, SIE, Series 7, Series 14, Series 27,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathy K Efrem, Kathy Efrem, Kathy Efrem Sipinick
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
FLOWW | FLOWW PRIVATE MARKETS US INC. | FLOWW PRIVATE MARKETS US
Contact Information
Main Address
1111 Brickell Avenue Sabadell Financial Center, Suite 2725, Miami, FL 33131Mailing Address
1111 Brickell Avenue Sabadell Financial Center, Suite 2725, Miami, FL 33131Phone Number
+1 (786) 591-7460Established
Delaware since 09/05/2023Firm Type
CorporationFiscal Year End
AugustFirm Size
SmallFINRA licenses (6 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Aug 2000About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kathy Efrem Sipinick's CRS (Customer Relationship Summary).
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