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KB

Kristoffer N. Braaten

DNB MARKETS
New York, NY 10001
Some features on this profile are disabled
CRD#: 6541583
KB

Professional summary

Kristoffer Nikolai Braaten is a registered financial professional currently at DNB MARKETS, INC. located in New York, New York.

Kristoffer is registered as a RR (Registered Representative) and started their career in finance in 2016. Kristoffer has worked at 1 firm and has passed the Series 63, SIE and Series 79 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 Kristoffer Nikolai Braaten'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

June 29, 2016 - Present

DNB MARKETS, INC.

Office #1: 30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001Office #2: 30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001
BD
CRD#: 127605
New York, NY

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
New York
(9/28/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 9/28/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/28/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DM
DNB MARKETS, INC.
DNB CARNEGIE, INC. | DNB NOR MARKETS, INC. | DNB MARKETS, INC.

CRD#: 127605 / SEC#: , 8-66024

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

Main Address
30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001
Mailing Address
30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001
Phone number
(332) 600-3993
Established
New York since 01/10/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DNB BANK ASASHAREHOLDER
ANDERSEN, VIDARDIRECTOR7772839
BAKKE, HEGE SIMPSONDIRECTOR7772894
BEHNCKE, PETER ANDREASDIRECTOR6258377
BORY, MELISSA NMNCHIEF COMPLIANCE OFFICER5047640
BREIVIK, THOMAS OLAV OPDAHLDIRECTOR7207266
FELKOWSKI, BRIANTREASURER5659117
JADICK, THEODORE SPENCER JRPRESIDENT5847469
KIRSCHENBLATT, CHADFINOP2503352
MARKOWITZ, MICHAEL ERICSECRETARY7159750
OPSTAD, MORTEN ALEXANDERDIRECTOR6191217

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

DNB MARKETS, INC.

CRD#: 127605New York, NY 10001

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