Kenneth U. Surjadinata

ROTHSCHILD & CO US

Santa Monica, CA 90401

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CRD#: 4218105

Professional summary

Kenneth Utama Surjadinata is a registered financial professional currently at ROTHSCHILD & CO US INC. located in Santa Monica, California.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2000. Kenneth has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

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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

May 29, 2015 - Present

ROTHSCHILD & CO US INC.

Office #1: 1299 Ocean Drive Suite 700, Santa Monica, CA 90401

CRD#: 2910

Santa Monica, CA

Past

December 2, 2009 - February 17, 2015

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

LOS ANGELES, CA

Past

March 20, 2006 - October 21, 2009

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

LOS ANGELES, CA

Past

December 11, 2000 - March 7, 2006

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(5/29/2015)

New York
(5/29/2015)

Exams

State Security Law Exam

Series 63

Date: 3/24/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROTHSCHILD & CO US INC.

NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.

CRD#: 2910 / SEC#: , 8-13852

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

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Contact information

Main Address

1251 Avenue Of The Americas, New York, NY 10020

Mailing Address

1251 Avenue Of The Americas, New York, NY 10020

Phone number

(212) 403-3500

Established

Delaware since 07/20/1967

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ROTHSCHILD & CO NORTH AMERICA INC.	DIRECT SHAREHOLDER
CARROLL, JOHN MURRAY	DIRECTOR	2605675
FELDMAN, TRACY J	DIRECTOR	2575503
LONDON, FRANK STEVEN	CHIEF COMPLIANCE OFFICER	5861920
NEISSA, JAMES MANUEL	DIRECTOR	2142240
SCHACKERT, CHRISTA MARY	PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER	4219093
SPELLER, MICHAEL CHARLES	CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR	3105214

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Kenneth U. Surjadinata

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Utama Surjadinata's CRS (Customer Relationship Summary).

Certified licenses

Experience

MACQUARIE CAPITAL (USA) INC.

DEUTSCHE BANK SECURITIES INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/9/2000

Series 24

Date: 3/2/2010

FINRA

Current Firm

ROTHSCHILD & CO US INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROTHSCHILD & CO US INC.

TRUST BUT VERIFY

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