Joshua S. Bornstein
Professional summary
Joshua Shaya Bornstein, who also goes by Josh Bornstein, is a registered financial professional currently at KKR CAPITAL MARKETS LLC located in New York, New York.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2010. Joshua has worked at 4 firms and has passed the Series 99TO, SIE, Series 3, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joshua Shaya Bornstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2022 - Present
KKR CAPITAL MARKETS LLC
Office #1: 30 Hudson Yards, New York, NY 10001January 28, 2020 - October 13, 2022
BLUE OWL SECURITIES
April 7, 2015 - January 23, 2020
PIMCO INVESTMENTS LLC
April 26, 2010 - April 1, 2015
BARINGS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
KKR CAPITAL MARKETS LLC
CRD#: 143571 / SEC#: , 8-67578
Contact information
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
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