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JF

Jose M. Figueroa

GLOBAL ATLANTIC DISTRIBUTORS
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 5218152
JF

Professional summary

Jose M Figueroa is a registered financial professional currently at GLOBAL ATLANTIC DISTRIBUTORS, LLC located in Hartford, Connecticut and KKR CAPITAL MARKETS LLC located in New York, New York.

Jose is registered as a RR (Registered Representative) and started their career in finance in 2012. Jose has worked at 5 firms and has passed the Series 99TO, SIE and Series 6 exams.

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 Jose M Figueroa'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

August 10, 2017 - Present

GLOBAL ATLANTIC DISTRIBUTORS, LLC

Office #1: One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
BD
CRD#: 8326
Hartford, CT
Current

April 1, 2026 - Present

KKR CAPITAL MARKETS LLC

Office #1: 30 Hudson Yards, New York, NY 10001
BD
CRD#: 143571
New York, NY
Past

February 25, 2013 - February 22, 2017

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
ENFIELD, CT
Past

December 21, 2012 - January 23, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
SIMSBURY, CT
Past

August 29, 2012 - November 2, 2012

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
SIMSBURY, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/20/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KKR CAPITAL MARKETS LLC
KKR CAPITAL MARKETS LLC | KKR GLOBAL MARKETS LLC

CRD#: 143571 / SEC#: , 8-67578

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
30 Hudson Yards, New York, NY 10001
Mailing Address
30 Hudson Yards, New York, NY 10001
Phone number
(212) 750-8300
Established
Delaware since 01/29/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
KKR CAPITAL MARKETS HOLDINGS L.P.SOLE MEMBER
KNOX, JOHN JOSEPHPRINCIPAL FINANCIAL OFFICER2605046
KNOX, JOHN JOSEPHCHIEF FINANCIAL OFFICER, FINANCIAL/ OPERATIONS PRINCIPAL2605046
KNOX, JOHN JOSEPHPRINCIPAL OPERATING OFFICER2605046
MOGELOF, ERIC JAYHEAD OF CLIENT PARTNER GROUP4558632
SCHWARTZ, JEFFREY I.CHIEF COMPLIANCE OFFICER4961301
SMITH, ADAMCHIEF EXECUTIVE OFFICER5748435
THOMPSON, WILLIAM CADECHIEF OPERATING OFFICER4566364

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

KKR CAPITAL MARKETS LLC

CRD#: 143571Hartford, CT 06103

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