Eric Jay Mogelof
Professional Summary
Eric Jay Mogelof, who also goes by Eric J Mogelof, Eric Mogelof, is a registered financial advisor currently at KKR CAPITAL MARKETS LLC located in New York, New York. Eric is registered as a RR (Registered Representative) and started their career in finance in 2003. Eric has worked at 3 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 30 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eric J Mogelof, Eric Mogelof
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Years of Experience
23 years in the financial services industry
Current & Past Employments
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Current Firm
KKR CAPITAL MARKETS LLC | KKR GLOBAL MARKETS LLC
Contact Information
Main Address
30 Hudson Yards, New York, NY 10001Mailing Address
30 Hudson Yards, New York, NY 10001Phone Number
(212) 750-8300Established
Delaware since 01/29/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KKR CAPITAL MARKETS HOLDINGS L.P. | SOLE MEMBER | — |
| KNOX, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINANCIAL/ OPERATIONS PRINCIPAL | 2605046 |
| KNOX, JOHN JOSEPH | PRINCIPAL OPERATING OFFICER | 2605046 |
| KNOX, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2605046 |
| MOGELOF, ERIC JAY | HEAD OF CLIENT PARTNER GROUP | 4558632 |
| SCHWARTZ, JEFFREY I. | CHIEF COMPLIANCE OFFICER | 4961301 |
| SMITH, ADAM | CHIEF EXECUTIVE OFFICER | 5748435 |
| THOMPSON, WILLIAM CADE | CHIEF OPERATING OFFICER | 4566364 |
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
State Registrations and Notice Filings
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/24/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
(11/19/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
CRS (Client Relationship Summary) - BD
Click below to view Eric Jay Mogelof's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
