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AB

Alex S. Bayman

Some features on this profile are disabled
CRD#: 6374992
AB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alex Sevan Bayman was a registered financial professional .

Alex is a previously registered financial professional and started their career in finance in 2014. Alex had worked at 2 firms and has passed the Series 7TO, Series 79TO, SIE, Series 79 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 15, 2017 - October 26, 2020

KKR CAPITAL MARKETS LLC

BD
CRD#: 143571
SAN FRANCISCO, CA
Past

September 24, 2014 - January 6, 2017

DBO PARTNERS LLC

BD
CRD#: 158951
BURLINGAME, CA

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 7TO
Date: 12/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/22/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/17/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/2014
General Securities Representative Examination

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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KKR CAPITAL MARKETS HOLDINGS L.P.SOLE MEMBER
KNOX, JOHN JOSEPHPRINCIPAL FINANCIAL OFFICER2605046
KNOX, JOHN JOSEPHCHIEF FINANCIAL OFFICER, FINANCIAL/ OPERATIONS PRINCIPAL2605046
KNOX, JOHN JOSEPHPRINCIPAL OPERATING OFFICER2605046
MOGELOF, ERIC JAYHEAD OF CLIENT PARTNER GROUP4558632
SCHWARTZ, JEFFREY I.CHIEF COMPLIANCE OFFICER4961301
SMITH, ADAMCHIEF EXECUTIVE OFFICER5748435
THOMPSON, WILLIAM CADECHIEF OPERATING OFFICER4566364

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

KKR CAPITAL MARKETS LLC

CRD#: 143571

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