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KK

Kevin C. Krober

GFI SECURITIES LLC
New York, NY 10038
Some features on this profile are disabled
CRD#: 4050272
KK

Professional summary

Kevin Caucig Krober is a registered financial professional currently at GFI SECURITIES LLC located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 57, Series 3 and Series 55 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Kevin Caucig Krober's CRS (Customer Relationship Summary).
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

July 14, 2023 - Present

GFI SECURITIES LLC

Office #1: 199 Water Street 19th Floor, New York, NY 10038
BD
CRD#: 19982
New York, NY
Past

June 30, 2023 - July 17, 2023

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NORWALK, CT
Past

May 27, 2016 - June 30, 2023

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NORWALK, CT
Past

August 17, 2004 - November 18, 2004

AUDOBON SECURITIES, INC.

BD
CRD#: 25156
NEW YORK, NY
Past

August 17, 2004 - April 29, 2005

HIGHBRIDGE CAPITAL CORPORATION

BD
CRD#: 30208
GRAND CAYMAN,
Past

January 22, 2004 - July 1, 2004

BLOCK ISLAND SECURITIES LLC

BD
CRD#: 118944
DARIEN, CT
Past

September 25, 2003 - September 8, 2004

BLOCK ISLAND GROUP LLC

RIA
CRD#: 126216
DARIEN, CT
Past

April 3, 2002 - December 20, 2002

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 18, 2001 - April 10, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 1, 2000 - October 18, 2001

TLW SECURITIES, LLC

BD
CRD#: 31339
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(7/14/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/1/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/19/2003
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57
Date: 5/27/2016
Securities Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 12/18/2015
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 7/6/2000
Limited Representative-Equity Trader Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GS
GFI SECURITIES LLC
12TH STREET CAPITAL, A DIVISION OF GFI SECURITIES LLC | SUNRISE BROKERS, A DIVISION OF GFI SECURITIES LLC | SUNRISE A DIVISION OF GFI SECURITIES | LATIUM, A DIVISION OF GFI SECURITIES LLC | GFI SECURITIES LLC | GFI GROUP, INC. | G.F.I. GROUP, INC. | FENICS-PM, A DIVISION OF GFI SECURITIES LLC | CAVENTOR CAPITAL, A DIVISION OF GFI SECURITIES LLC. | AUREL PARTNERS A DIVISION OF GFI SECURITIES LLC

CRD#: 19982 / SEC#: , 8-43548

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 Water Street 10th Floor, New York, NY 10041
Mailing Address
55 Water Street 10th Floor, New York, NY 10041
Phone number
(212) 968-2032
Established
New York since 07/09/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GFINET INC.SOLE MEMBER
ABULARRAGE, JOHN JOSEPHCHIEF EXECUTIVE OFFICER3265633
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
HAUF, JASON WILLIAMSCHIEF FINANCIAL OFFICER4163331
LEWIS, THOMAS JOSEPHPRINCIPAL2684821
LYNCH, MARTINCHIEF OPERATING OFFICER5612726
SULFARO, MICHAEL CARLCHIEF COMPLIANCE OFFICER2483562

Disclosures

Regulatory Event30

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.

Company Information

GFI SECURITIES LLC

CRD#: 19982New York, NY 10038

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