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JK

Jay H. Kesslen

KBD SECURITIES
New Yoyk, NY 10016
Some features on this profile are disabled
CRD#: 4335392
JK

Professional summary

Jay Harris Kesslen is a registered financial professional currently at KBD SECURITIES, LLC located in New Yoyk, New York and KINETICS FUNDS DISTRIBUTOR LLC located in New York, New York.

Jay is registered as a RR (Registered Representative) and started their career in finance in 2001. Jay 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 Jay Harris Kesslen'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®
None

Experience

Current

February 14, 2001 - 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
Current

April 1, 2002 - Present

KINETICS FUNDS DISTRIBUTOR LLC

Office #1: 470 Park Avenue South 8th Floor, New York, NY 10016Office #2: 470 Park Avenue South 8th Floor, New York, NY 10016
BD
CRD#: 780
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
(5/25/2001)

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/2001
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: 2/13/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KF
KINETICS FUNDS DISTRIBUTOR LLC
KINETICS FUNDS DISTRIBUTOR LLC | SOUTHWEST FINANCIAL PLANNING INSTITUTE, INC. | KINETICS FUNDS DISTRIBUTOR, INC.

CRD#: 780 / SEC#: , 8-13923

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, New York, NY 10016
Mailing Address
470 Park Avenue South 8th Floor, New York, NY 10016
Phone number
(646) 495-7333
Established
Delaware since 03/17/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

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

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

KINETICS FUNDS DISTRIBUTOR LLC

CRD#: 780New Yoyk, NY 10016

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