Kathy E. Sipinick
Professional summary
Kathy Efrem Sipinick, who also goes by Kathy K Efrem, Kathy Efrem, Kathy Efrem Sipinick, is a registered financial professional 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 62 firms and has passed the Series 99TO, SIE, Series 7, Series 14, Series 27, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathy Efrem Sipinick's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 17, 2005 - Present
NEAR EARTH, LLC
May 29, 2009 - Present
EM SECURITIES LLC
Office #1: C/o Caa Evolution 405 Lexington Avenue 19th Floor, New York, NY, 10174June 7, 2013 - Present
WOMBAT CAPITAL MARKETS LLC
Office #1: 370 Lexington Avenue Suite 804, New York, NY 10017January 31, 2014 - Present
SENAHILL SECURITIES, LLC
Office #1: 45 Rockefeller Plaza Suite 3504, New York, NY 10111March 14, 2017 - Present
NCG SECURITIES LLC
Office #1: 12 Broad Street 5th Floor, Red Bank, NJ, 07701March 20, 2017 - Present
PALMER CAPITAL ADVISORS, LLC
Office #1: 1290 Avenue Of The Americas 10th Floor, New York, NY 10104Office #2: 42 Broadway, Suite 12-129, New York, NY 10004November 19, 2020 - Present
I5EQUITY
Office #1: 1700 Montgomery Street Suite 108, San Francisco, CA 94111December 21, 2020 - Present
WHITEHALL CAPITAL MARKETS LLC
Office #1: One World Trade Center 84th Floor, New York, NY 10007August 8, 2022 - Present
SAND CAPITAL LLC
Office #1: 30 Hudson Yards 83rd Floor, New York, NY 10001November 2, 2022 - Present
SNOWBRIDGE SECURITIES LLC
Office #1: 3801 Pga Boulevard Suite 600, Palm Beach Gardens, FL 33410January 31, 2023 - Present
DEALER SOLUTIONS NORTH AMERICA LLC
Office #1: 42 Broadway, Suite 12-129, New York, NY 10004March 15, 2023 - Present
PEI GLOBAL PARTNERS LLC
Office #1: 1001 Water Street Suite 1150, Tampa, FL 33602May 16, 2024 - Present
PRIVATE BROKERS, LLC
Office #1: 745 5th Avenue, Suite 500, New York, NY 10151June 11, 2024 - Present
SEB SECURITIES, INC.
Office #1: 66 Hudson Boulevard 28th Floor, New York, NY, 10001October 18, 2024 - Present
16 POINTS LLC
August 7, 2025 - Present
KBFG SECURITIES AMERICA INC.
Office #1: 1370 Avenue Of The Americas, Suite 2700, New York, NY 10019August 15, 2024 - January 17, 2025
LINQTO CAPITAL
January 25, 2023 - May 12, 2023
OTR GLOBAL TRADING LLC
December 23, 2020 - January 22, 2023
OTR GLOBAL TRADING LLC
December 16, 2020 - March 30, 2021
KIPLING JONES & CO., LTD.
December 15, 2020 - April 5, 2022
OPENDEAL BROKER LLC
December 15, 2020 - January 14, 2023
DEALER SOLUTIONS NORTH AMERICA LLC
July 6, 2020 - November 6, 2025
MARATHON CAPITAL MARKETS, LLC
November 26, 2018 - October 31, 2022
SERIESONE SECURITIES, LLC
September 27, 2018 - November 18, 2019
AGM SECURITIES LLC
October 2, 2017 - March 22, 2025
RADIUS SECURITIES LLC
January 4, 2017 - November 29, 2023
SEXTANT SECURITIES, LLC
November 4, 2015 - August 27, 2025
CAPELLA SECURITIES LLC
October 14, 2015 - March 3, 2025
OCEAN TOMO INVESTMENT GROUP, LLC
January 14, 2015 - March 4, 2016
ARTIVEST BROKERAGE LLC
January 5, 2015 - February 22, 2016
GOTTEX BROKERS ALTERNATIVE USA INC.
October 5, 2012 - August 12, 2016
LIONTREE ADVISORS LLC
September 10, 2012 - January 5, 2021
IIP SECURITIES LLC
July 27, 2011 - January 6, 2012
TSC DISTRIBUTORS, LLC
August 19, 2009 - November 15, 2013
MAYFAIR CAPITAL MARKETS LLC
March 12, 2009 - September 11, 2014
ACHILLES SECURITIES, LLC
May 2, 2008 - July 20, 2009
COLLINS CAPITAL ADVISORS, LLC
April 10, 2008 - September 27, 2010
SPEARHEAD CAPITAL, LLC
February 29, 2008 - May 5, 2011
CHERTOFF CAPITAL, LLC
January 14, 2008 - July 9, 2008
S. GOLDMAN CAPITAL LLC
August 17, 2007 - July 16, 2008
SEAPINE SECURITIES, LLC
January 3, 2007 - March 9, 2021
CORNWALL PARTNERS, LLC
September 12, 2006 - October 2, 2007
INTERDEALER SECURITIES, LLC
August 1, 2006 - May 8, 2008
S. GOLDMAN ADVISORS, LLC
April 7, 2006 - June 2, 2011
OMNICAP, LLC
April 4, 2006 - September 16, 2008
GENESIS GLOBAL TRADING, INC
March 30, 2006 - December 16, 2008
WEXTRUST SECURITIES LLC
March 28, 2006 - November 2, 2006
CGI MERCHANT CAPITAL, LLC
March 15, 2006 - January 30, 2009
PINERIDGE CAPITAL LLC
November 15, 2004 - September 18, 2006
FORESIGHT RESEARCH SOLUTIONS LLC
November 5, 2003 - January 30, 2007
MOORELAND PARTNERS LLC
October 31, 2003 - April 29, 2005
MARLON DISTRIBUTORS, INC.
October 17, 2003 - February 24, 2021
GROTON SECURITIES LLC
June 3, 2003 - March 29, 2005
BONDVISION
May 2, 2003 - October 27, 2009
GALLATIN CAPITAL LLC
October 30, 2002 - October 15, 2009
BIO-IB, INC.
October 10, 2002 - January 2, 2008
GFCM SECURITIES, LLC
September 25, 2002 - July 25, 2005
ELECTRONIC SECURITIES PROCESSING (ESP) LLC
June 7, 2002 - May 6, 2025
THE SILVERFERN GROUP, INC.
December 18, 2001 - August 1, 2002
MILLER BUCKFIRE & CO., LLC
July 25, 2001 - April 25, 2003
LICENT CAPITAL SECURITIES
May 9, 2001 - December 19, 2003
CLEMENSEN CAPITAL COMPANY, LLC
April 12, 2001 - April 29, 2008
SONENSHINE & COMPANY LLC
September 8, 2000 - December 18, 2000
SPIRIT PARTNERS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 8/28/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
KBFG SECURITIES AMERICA INC.
CRD#: 39356 / SEC#: , 8-48651
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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