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AW

Alun L. Williams

KBD SECURITIES
New Yoyk, NY 10016
Some features on this profile are disabled
CRD#: 4331633
AW

Professional summary

Alun L Williams is a registered financial professional currently at KBD SECURITIES, LLC located in New Yoyk, New York.

Alun is registered as a RR (Registered Representative) and started their career in finance in 2001. Alun has worked at 2 firms and has passed the Series 63, SIE and Series 7 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 Alun L Williams'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 27, 2011 - Present

KBD SECURITIES, LLC

Office #1: 470 Park Avenue South, New Yoyk, NY 10016Office #2: 470 Park Avenue South 8th Floor South, New York, NY 10016
BD
CRD#: 104110
New Yoyk, NY
Past

March 13, 2001 - September 9, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
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
(7/27/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KBD SECURITIES, LLC
KBD SECURITIES, LLC

CRD#: 104110 / SEC#: , 8-52591

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

Main Address
470 Park Avenue South 8th Floor South, New York, NY 10016
Mailing Address
470 Park Avenue South 8th Floor South, New York, NY 10016
Phone number
(914) 703-6904
Established
New York since 03/23/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 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#
HORIZON KINETICS, LLCPARENT COMPANY
BELL, CHRISTOPHER DUNCANCEO, CFO, DESIGNATED PRINCIPAL, FINOP1479836
DOYLE, JAMES GANNONCHIEF COMPLIANCE OFFICER & DESIGNATED PRINCIPAL4189586
KESSLEN, JAY HARRISGENERAL COUNSEL, SVP, AML OFFICER4335392
WILLIAMS, ALUN LOPERATIONS PROFESSIONAL4331633

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

KBD SECURITIES, LLC

CRD#: 104110New Yoyk, NY 10016

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