David E. Stern
Professional summary
David E Stern is a registered financial professional currently at KKR CAPITAL MARKETS LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2017. David has worked at 11 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David E Stern's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 13, 2022 - Present
KKR CAPITAL MARKETS LLC
Office #1: 30 Hudson Yards, New York, NY 10001January 29, 2020 - May 27, 2020
CFWP SECURITIES, LLC
January 29, 2020 - November 20, 2020
SUNRISE BROKERS LLC
January 29, 2020 - November 20, 2020
MINT BROKERS
January 29, 2020 - November 20, 2020
GFI SECURITIES LLC
January 29, 2020 - November 20, 2020
FMX EXECUTION, LLC
January 29, 2020 - November 20, 2020
CF SECURED, LLC
January 29, 2020 - November 20, 2020
CASTLEOAK SECURITIES, LP
January 29, 2020 - November 20, 2020
CANTOR FITZGERALD & CO.
January 29, 2020 - November 20, 2020
AQUA SECURITIES L.P.
September 26, 2017 - November 20, 2020
BGC FINANCIAL, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
KKR CAPITAL MARKETS LLC
CRD#: 143571 / SEC#: , 8-67578
Contact information
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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