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KC

Kenneth L. Chang

CAPITOLIS GLOBAL BROKER DEALER LLC
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 6344461
KC

Professional summary

Kenneth L Chang is a registered financial professional currently at CAPITOLIS GLOBAL BROKER DEALER LLC located in New York, New York.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2014. Kenneth has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 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 Kenneth L Chang'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

May 23, 2025 - Present

CAPITOLIS GLOBAL BROKER DEALER LLC

Office #1: 11 W. 42nd Street 15th Floor, New York, NY, 10036
BD
CRD#: 325346
NEW YORK, NY
Past

September 20, 2019 - August 25, 2024

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

November 3, 2016 - September 6, 2018

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 17, 2014 - November 12, 2014

HEROLD & LANTERN INVESTMENTS, INC.

BD
CRD#: 30996
HOBOKEN, NJ

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

State Security Law Exam
RR
Series 63
Date: 10/14/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CG
CAPITOLIS GLOBAL BROKER DEALER LLC
CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346 / SEC#: , 8-71056

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

Main Address
11 W. 42nd Street 15th Floor, New York, NY, 10036
Mailing Address
11 W. 42nd Street 15th Floor, New York, NY, 10036
Phone number
(212) 388-5201
Established
Delaware since 02/01/2023
Firm type
Limited Liability Company
Fiscal year end
January
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#
ESL FUNDING LLCGENERAL MEMBER
BAPTISTE, LINDSEY KATHLEENCHIEF FINANCIAL OFFICER, FINOP AND MANAGER5714590
BORER, JON ACHIEF COMPLIANCE OFFICER6374938
DROUMENQ, THOMASCHIEF EXECUTIVE OFFICER4871722
WEXLER, STUART JOELGENERAL COUNSEL
WILSON, CHARLENE FAITHFINOP1935747

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

CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346New York, NY 10036

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