MB
Matthias Berning
KKR CAPITAL MARKETS
Carlsbad, CA
CRD#: 6305111
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MB
Matthias BerningKKR CAPITAL MARKETS
Professional summary
Matthias Berning is a registered financial professional currently at KKR CAPITAL MARKETS LLC located in Carlsbad, California.
Matthias is registered as a RR (Registered Representative) and started their career in finance in 2014. Matthias has worked at 3 firms and has passed the Series 63, 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 Matthias Berning'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
June 13, 2023 - Present
KKR CAPITAL MARKETS LLC
BD
CRD#: 143571
Carlsbad, CA
Past
December 16, 2014 - May 31, 2023
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
CHICAGO, IL
Past
March 5, 2014 - December 16, 2014
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
WESTERVILLE, OH
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(6/13/2023)
RR
Alaska(6/13/2023)
RR
Arizona(6/13/2023)
RR
Arkansas(6/13/2023)
RR
California(6/13/2023)
RR
Colorado(6/13/2023)
RR
Connecticut(6/13/2023)
RR
Delaware(6/13/2023)
RR
District of Columbia(6/13/2023)
RR
Florida(6/13/2023)
RR
Georgia(6/13/2023)
RR
Hawaii(6/13/2023)
RR
Idaho(6/13/2023)
RR
Illinois(6/13/2023)
RR
Indiana(6/13/2023)
RR
Iowa(6/13/2023)
RR
Kansas(6/13/2023)
RR
Kentucky(6/13/2023)
RR
Louisiana(6/13/2023)
RR
Maine(6/13/2023)
RR
Maryland(6/13/2023)
RR
Massachusetts(6/13/2023)
RR
Michigan(6/13/2023)
RR
Minnesota(6/13/2023)
RR
Mississippi(6/13/2023)
RR
Missouri(6/13/2023)
RR
Montana(6/13/2023)
RR
Nebraska(6/13/2023)
RR
Nevada(6/13/2023)
RR
New Hampshire(6/13/2023)
RR
New Jersey(6/13/2023)
RR
New Mexico(6/13/2023)
RR
New York(6/13/2023)
RR
North Carolina(6/13/2023)
RR
North Dakota(6/13/2023)
RR
Ohio(6/13/2023)
RR
Oklahoma(6/13/2023)
RR
Oregon(6/13/2023)
RR
Pennsylvania(6/13/2023)
RR
Puerto Rico(6/13/2023)
RR
Rhode Island(6/13/2023)
RR
South Carolina(6/13/2023)
RR
South Dakota(6/13/2023)
RR
Tennessee(6/13/2023)
RR
Texas(6/13/2023)
RR
Utah(6/13/2023)
RR
Vermont(6/13/2023)
RR
Virgin Islands(6/13/2023)
RR
Virginia(6/13/2023)
RR
Washington(6/13/2023)
RR
West Virginia(6/13/2023)
RR
Wisconsin(6/13/2023)
RR
Wyoming(6/13/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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
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