Kevin Halupka
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Halupka was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2000. Kevin had worked at 13 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2020 - April 29, 2021
THINKEQUITY LLC
February 27, 2019 - November 2, 2020
KAVOUT SECURITIES, LLC
April 7, 2016 - March 3, 2017
ATREYU TRADING
February 27, 2013 - April 7, 2015
LODESTAR SECURITIES CORP.
August 27, 2012 - February 12, 2013
WEDBUSH SECURITIES INC.
September 8, 2009 - February 12, 2013
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
November 21, 2006 - August 31, 2009
VIRTU ITG LLC
August 1, 2006 - November 29, 2006
J.P. MORGAN SECURITIES INC.
September 6, 2005 - August 10, 2006
LAVA TRADING, INC.
June 29, 2005 - July 13, 2005
LAVA TRADING, INC.
May 6, 2005 - November 28, 2005
CITIGROUP GLOBAL MARKETS INC.
May 5, 2004 - April 7, 2005
TAFFERER TRADING, LLC
June 30, 2001 - September 26, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
March 28, 2000 - June 30, 2001
ICAPITAL MARKETS 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
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/3/2004
Limited Representative-Equity Trader ExamCurrent Firm
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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