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AK

Anna Kopec

BREAKWATER GROUP DISTRIBUTION SERVICES
New York, NY 10017
Some features on this profile are disabled
CRD#: 5802820
AK

Professional summary

Anna Kopec is a registered financial professional currently at BREAKWATER GROUP DISTRIBUTION SERVICES, LLC located in New York, New York.

Anna is registered as a RR (Registered Representative) and started their career in finance in 2013. Anna has worked at 10 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

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 Anna Kopec'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®
None

Experience

Current

February 3, 2020 - Present

BREAKWATER GROUP DISTRIBUTION SERVICES, LLC

Office #1: 350 Madison Avenue, New York, NY 10017
BD
CRD#: 167601
New York, NY
Past

November 2, 2015 - July 25, 2016

BREAKWATER GROUP DISTRIBUTION SERVICES, LLC

BD
CRD#: 167601
NEW YORK, NY
Past

April 16, 2015 - February 19, 2016

FAIRFIELD RESEARCH SECURITIES CORPORATION

BD
CRD#: 19744
NEW CANAAN, CT
Past

April 6, 2015 - August 15, 2016

ODDO BHF NEW YORK CORPORATION

BD
CRD#: 45104
NEW YORK, NY
Past

April 6, 2015 - April 5, 2019

LYSTER WATSON SECURITIES, INC.

BD
CRD#: 30210
NEW YORK, NY
Past

April 2, 2015 - November 20, 2016

SHELTER ROCK CAPITAL GROUP LLC

BD
CRD#: 156753
STAMFORD, CT
Past

February 6, 2015 - November 3, 2017

BREN VENTURES LLC

BD
CRD#: 139768
NEW YORK, NY
Past

September 10, 2013 - April 10, 2018

STARWOOD CAPITAL, L.L.C.

BD
CRD#: 146057
GREENWICH, CT
Past

September 6, 2013 - February 6, 2014

HEDGEMARK SECURITIES LLC

BD
CRD#: 164503
NEW YORK, NY
Past

September 5, 2013 - January 30, 2014

PALADIN MARKET ADVISORS, LLC

BD
CRD#: 13281
NEW YORK, NY
Past

June 27, 2013 - September 11, 2013

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY

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: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/27/2013
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BG
BREAKWATER GROUP DISTRIBUTION SERVICES, LLC
BREAKWATER GROUP DISTRIBUTION SERVICES, LLC | BREAKWATER GROUP LLC

CRD#: 167601 / SEC#: , 8-69269

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
350 Madison Avenue, New York, NY 10017
Mailing Address
350 Madison Avenue, New York, NY 10017
Phone number
(212) 716-6570
Established
Delaware since 03/20/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALKEON CAPITAL MANAGEMENT, LLCMEMBER118059
BREAKWATER GROUP MANAGEMENT LLCMANAGING MEMBER
JAKUBOWSKY, GREGORY DANIELCEO & CCO2155311
RUTITSKIY, DMITRIY NMNFINOP/ PFO/ POO6117665

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

BREAKWATER GROUP DISTRIBUTION SERVICES, LLC

CRD#: 167601New York, NY 10017

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