LK
Luke T. Kottke
LAIDLAW & COMPANY (UK) LTD.
New York, NY 10175
Some features on this profile are disabled
CRD#: 5560832
LK
Professional summary
Luke T Kottke is a registered financial professional currently at LAIDLAW & COMPANY (UK) LTD. located in New York, New York.
Luke is registered as a RR (Registered Representative) and started their career in finance in 2008. Luke has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
CRS (Client Relationship Summary) - BD
Click below to view Luke T Kottke'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
April 23, 2012 - Present
LAIDLAW & COMPANY (UK) LTD.
Office #1: 521 5th Avenue 12th Floor, New York, NY 10175BD
CRD#: 119037
New York, NY
Past
May 4, 2010 - April 20, 2012
RODMAN & RENSHAW, LLC
BD
CRD#: 16415
NEW YORK, NY
Past
January 28, 2009 - February 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
September 26, 2008 - February 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(4/24/2012)
RR
Alaska(4/24/2012)
RR
Arizona(4/24/2012)
RR
Arkansas(4/24/2012)
RR
California(4/24/2012)
RR
Colorado(4/24/2012)
RR
Connecticut(4/24/2012)
RR
Delaware(4/24/2012)
RR
District of Columbia(4/24/2012)
RR
Florida(4/24/2012)
RR
Georgia(4/24/2012)
RR
Hawaii(4/24/2012)
RR
Idaho(4/24/2012)
RR
Indiana(4/24/2012)
RR
Iowa(4/24/2012)
RR
Kansas(4/24/2012)
RR
Kentucky(4/24/2012)
RR
Louisiana(4/24/2012)
RR
Maine(4/24/2012)
RR
Maryland(4/24/2012)
RR
Massachusetts(4/24/2012)
RR
Michigan(4/24/2012)
RR
Minnesota(4/24/2012)
RR
Mississippi(4/24/2012)
RR
Missouri(4/24/2012)
RR
Montana(4/24/2012)
RR
Nebraska(4/24/2012)
RR
Nevada(4/24/2012)
RR
New Hampshire(4/24/2012)
RR
New Jersey(4/24/2012)
RR
New Mexico(4/24/2012)
RR
New York(4/23/2012)
RR
North Carolina(4/24/2012)
RR
North Dakota(4/24/2012)
RR
Ohio(4/24/2012)
RR
Oklahoma(4/24/2012)
RR
Oregon(4/24/2012)
RR
Pennsylvania(4/24/2012)
RR
Puerto Rico(4/24/2012)
RR
Rhode Island(4/24/2012)
RR
South Carolina(4/24/2012)
RR
South Dakota(4/24/2012)
RR
Tennessee(1/18/2019)
RR
Texas(4/24/2012)
RR
Utah(4/24/2012)
RR
Vermont(4/24/2012)
RR
Virgin Islands(4/24/2012)
RR
Virginia(4/24/2012)
RR
Washington(4/24/2012)
RR
West Virginia(4/24/2012)
RR
Wisconsin(4/24/2012)
RR
Wyoming(4/24/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
L&
LAIDLAW & COMPANY (UK) LTD.
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.
CRD#: 119037 / SEC#: , 8-53731
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZ
Mailing Address
521 5th Avenue 12th Fl, New York, NY 10175
Phone number
(212) 697-5200
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
