KB
Kevin P. Berkowitz
BGC FINANCIAL, L.P.
NEW YORK, NY 10004
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CRD#: 4240655
KB
Professional summary
Kevin Philip Berkowitz, who also goes by Kevin Philips Berkowitz, is a registered financial professional currently at BGC FINANCIAL, L.P. 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 66, Series 99TO, Series 57TO, SIE, Series 87, Series 55, Series 25 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin Philips Berkowitz
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Philip Berkowitz's 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®
NoneExperience
Current
October 1, 2012 - Present
BGC FINANCIAL, L.P.
Office #1: 55 Water Street 10th Floor, New York, NY 10004BD
CRD#: 19801
NEW YORK, NY
Past
May 30, 2008 - July 30, 2012
MOMENTUM TRADING PARTNERS, LLC
BD
CRD#: 140264
GREAT NECK, NY
Past
September 11, 2007 - October 21, 2008
DME SECURITIES, LLC
BD
CRD#: 112584
NEW YORK, NY
Past
July 23, 2007 - September 24, 2007
BATTENKILL CAPITAL, INC.
BD
CRD#: 131548
MANCHESTER CENTER, VT
Past
November 13, 2006 - August 2, 2007
INTEGRA SECURITIES CORP.
BD
CRD#: 124929
NEW YORK, NY
Past
July 1, 2005 - November 30, 2006
FIMAT PREFERRED LLC
BD
CRD#: 135680
SAN FRANCISCO, CA
Past
March 7, 2005 - July 1, 2005
PREFERREDTRADE, INC.
BD
CRD#: 10993
SAN FRANCISCO, CA
Past
June 8, 2004 - March 3, 2005
PRIME EXECUTIONS, INC.
BD
CRD#: 32889
NEW YORK, NY
Past
August 1, 2002 - June 16, 2004
DME SECURITIES, LLC
BD
CRD#: 112584
NEW YORK, NY
Past
June 25, 2002 - September 6, 2002
NORTHPORT SECURITIES INC.
BD
CRD#: 32386
ENGLEWOOD CLIFFS, NJ
Past
November 15, 2000 - June 11, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Connecticut(7/24/2014)
RR
New York(10/1/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/11/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 25
Date: 12/10/2002
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BF
BGC FINANCIAL, L.P.
AUREL, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE BROKERS, A DIVISION OF BGC FINANCIAL LP | PRECISION, A DIVISION OF BGC FINANCIAL, L.P. | POTEN CAPITAL, A DIVISION OF BGC FINANCIAL, L.P. | MINT PARTNERS, A DIVISION OF BGC FINANCIAL, L.P. | MAXCOR FINANCIAL INC. | MAXCOR (DIVISION OF EURO BROKERS INC.) | MAXCOR | FENICS, A DIVISION OF BGC FINANCIAL, L.P. | FENICS UST, A DIVISION OF BGC FINANCIAL, L.P. | FENICS US TREASURIES, A DIVISION OF BGC FINANCIAL, L.P. | FENICS GO US, A DIVISION OF BGC FINANCIAL, L.P | EUROBROKERS, A DIVISION OF BGC FINANCIAL, L.P. | EURO BROKERS, A DIVISION OF MAXCOR FINANCIAL INC. | EURO BROKERS MAXCOR INC. | BGC RV | BGC RELATIVE VALUE, A DIVISION OF BGC FINANCIAL, L.P. | BGC LIQUIDEZ, A DIVISION OF BGC FINANCIAL, L.P. | BGC LAKE, A DIVISION OF BGC FINANCIAL, L.P. | BGC FINANCIAL, L.P. | BGC FINANCIAL INC.
CRD#: 19801 / SEC#: , 8-39012
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, 10004
Mailing Address
55 Water Street 10th Floor, New York, NY, 10041
Phone number
(646) 346-7000
Established
Delaware since 04/02/2008
Firm type
Partnership
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
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.
