Tonia Kaminsky

SHUFRO, ROSE & CO.

New York, NY 10022

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CRD#: 4134855

Professional summary

Tonia Kaminsky, who also goes by Tonia Lee Kaminsky, Tonia (yoolim) Kaminsky, Yoolim Kaminsky, Yoo Lim Lee, is a registered financial advisor currently at SHUFRO, ROSE & CO., LLC located in New York, New York.

Tonia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Tonia has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tonia Lee Kaminsky | Tonia (yoolim) Kaminsky | Yoolim Kaminsky | Yoo Lim Lee

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) - RIA

Click below to view Tonia Kaminsky'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

September 27, 2022 - Present

SHUFRO, ROSE & CO., LLC

Office #1: 600 Lexington Avenue 15th Floor, New York, NY 10022

RIA

CRD#: 3403

New York, NY

Past

July 20, 2000 - December 10, 2015

SHUFRO, ROSE & CO., LLC

CRD#: 3403

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHUFRO, ROSE & CO., LLC

SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC

CRD#: 3403 / SEC#: 801-977, 8-4024

RIA

Registered Investment Advisory firm - SEC (4/7/1955 Approved)

Terminated by SEC on 02/09/2016

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(9/27/2022)

IAR

Texas
(9/27/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/27/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/2009

General Securities Principal Examination

Current Firm

SHUFRO, ROSE & CO., LLC

SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC

CRD#: 3403 / SEC#: 801-977, 8-4024

RIA

Registered Investment Advisory firm - SEC (4/7/1955 Approved)

Terminated by SEC on 02/09/2016

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Contact information

Main Address

600 Lexington Avenue 15th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 754-5100

Established

New York since 04/01/1997

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHUFRO ROSE & CO - FORM ADV PART 2A (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
LEIT, STEPHEN DAVID	SENIOR MANAGING DIRECTOR	818707
SHUFRO, EDWARD GEORGE	SENIOR MANAGING DIRECTOR, CEO	422885
CONTANT, JOHN MARINUS	SENIOR MANAGING DIRECTOR	2810876
GLASS, STEVEN JEFFREY	SENIOR MANAGING DIRECTOR, CFO, FINOP	1756153
WACHT, HARVEY	SENIOR MANAGING DIRECTOR	456036
EDWARDS, MYLES JOSHUA IV	CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL	2040332
KAMINSKY, TONIA	SENIOR MANAGING DIRECTOR	4134855
SHUFRO, GREGORY DAVID	SENIOR MANAGING DIRECTOR	4718283

Regulatory assets under management

Total Number of Accounts	1,338
AUM (Assets Under Management)	$ 2,165,482,981

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/17/2024	Cover Page	Report
06/14/2023	Cover Page	Report

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.

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Tonia Kaminsky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tonia Kaminsky's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHUFRO, ROSE & CO., LLC

Primary Firm SEC Registration

SHUFRO, ROSE & CO., LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/2022

Series 63

Date: 8/9/2000

SIE

Date: 12/10/2015

Series 7

Date: 7/19/2000

Series 24

Date: 4/21/2009

Current Firm

SHUFRO, ROSE & CO., LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

SHUFRO, ROSE & CO., LLC

TRUST BUT VERIFY

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