MG
Mona H. Girotra
KKR CAPITAL MARKETS LLC
New York, NY 10001
Some features on this profile are disabled
CRD#: 5218502
MG
Professional summary
Mona H Girotra, who also goes by Mona Girotra, Mona Heer Girotra, is a registered financial professional currently at KKR CAPITAL MARKETS LLC located in New York, New York.
Mona is registered as a RR (Registered Representative) and started their career in finance in 2007. Mona has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mona Girotra | Mona Heer Girotra
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 Mona H Girotra'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 28, 2024 - Present
KKR CAPITAL MARKETS LLC
Office #1: 30 Hudson Yards, New York, NY 10001BD
CRD#: 143571
New York, NY
Past
June 9, 2010 - June 18, 2018
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
September 19, 2008 - May 18, 2010
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
September 19, 2008 - May 18, 2010
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
October 2, 2007 - September 24, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
NEW YORK, NY
Past
September 26, 2007 - September 24, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
Alabama(11/1/2024)
RR
Alaska(11/1/2024)
RR
Arizona(11/13/2024)
RR
Arkansas(11/14/2024)
RR
California(11/1/2024)
RR
Colorado(11/1/2024)
RR
Connecticut(11/1/2024)
RR
Delaware(11/7/2024)
RR
District of Columbia(11/6/2024)
RR
Florida(11/1/2024)
RR
Georgia(11/1/2024)
RR
Hawaii(11/1/2024)
RR
Idaho(11/4/2024)
RR
Illinois(11/13/2024)
RR
Indiana(11/1/2024)
RR
Iowa(11/12/2024)
RR
Kansas(10/31/2024)
RR
Kentucky(11/6/2024)
RR
Louisiana(11/15/2024)
RR
Maine(11/1/2024)
RR
Maryland(11/4/2024)
RR
Massachusetts(11/1/2024)
RR
Michigan(11/4/2024)
RR
Minnesota(11/5/2024)
RR
Mississippi(11/5/2024)
RR
Missouri(11/1/2024)
RR
Montana(11/4/2024)
RR
Nebraska(10/31/2024)
RR
Nevada(11/1/2024)
RR
New Hampshire(11/5/2024)
RR
New Jersey(11/8/2024)
RR
New Mexico(11/1/2024)
RR
New York(11/1/2024)
RR
North Carolina(11/1/2024)
RR
North Dakota(11/4/2024)
RR
Ohio(11/1/2024)
RR
Oklahoma(11/4/2024)
RR
Oregon(11/4/2024)
RR
Pennsylvania(11/1/2024)
RR
Puerto Rico(11/12/2024)
RR
Rhode Island(11/4/2024)
RR
South Carolina(11/1/2024)
RR
South Dakota(11/1/2024)
RR
Tennessee(11/4/2024)
RR
Texas(11/1/2024)
RR
Utah(11/1/2024)
RR
Vermont(11/1/2024)
RR
Virgin Islands(11/4/2024)
RR
Virginia(11/6/2024)
RR
Washington(11/4/2024)
RR
West Virginia(11/6/2024)
RR
Wisconsin(10/31/2024)
RR
Wyoming(11/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/25/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KKR CAPITAL MARKETS HOLDINGS L.P. | SOLE MEMBER | |
| KNOX, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2605046 |
| KNOX, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINANCIAL/ OPERATIONS PRINCIPAL | 2605046 |
| KNOX, JOHN JOSEPH | PRINCIPAL OPERATING 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 |
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.
