KS
Kenin M. Spivak
SMI ADVISORS LLC
Beverly Hills, CA
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CRD#: 6555860
KS
Professional summary
Kenin Mathew Spivak, who also goes by Kenin Spivak, is a registered financial advisor currently at SMI ADVISORS LLC located in Beverly Hills, California and SMI CAPITAL MARKETS LLC located in Altadena, California.
Kenin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Kenin has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 82, Series 79 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kenin Spivak
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.
(A) Spivak Management Inc. ("SMI-Inc."), 9663 Santa Monica Blvd., #1048, Beverly Hills, CA 90210, (2) consulting company, owner of film library, legal services, and writing services, including providing the services of its owner (N), (3) owner and president, (4) 1997, (5) 120 - 180, sometimes more (120 - 140). (B) SMI Group LLC, 9663 Santa Monica Blvd., #1048, Beverly Hills, CA 90210, (2) holding company and management consulting company (Y - through its licensed affiliates, SMI Capital Markets and SMI Advisors LLC) (3) managing partner, chairman and CEO, (4) 06/2015, (5) 80 - 120 (80 - 100) (does not include services for SMI-CM or SMI Advisors.) (C) SMI Advisors LLC, 9663 Santa Monica Blvd., #1048, Beverly Hills, CA 90210, (2) registered investment advisor (Y), (3) managing partner, (4) 06/2024, (5) 0 - 1 (0 - 1). (D) National Review Inc, 19 West 44th Street Suite 1701 New York, N.Y. 10036, (2) publication (N), (3) contributor, (4) 7/2021, (5) included in SMI-Inc. (E ) Claremont Institute, The American Mind, 1317 W. Foothill Blvd, Suite 120. Upland, CA 91786, (2) think tank/publication (N), (3) contributor, (4) 9/2021, (5) included in SMI-Inc. (F) Skye Management Holdings LLC Series 1, 1621 Central Ave., Cheyenne, WY 82001, (2) since 10/2021 has been a holding company owning shares of Oak Bio Technologies Inc. (N), (3) managing member, (4) 10/2021, (5) 0-1 (0-1). (G) Skye Management Holdings LLC Series 2, 1621 Central Ave., Cheyenne, WY 82001, (2) since 10/2021 has been a holding company owning an interest in certain mining activities (N), (3) managing member, (4) 10/2021, (5) 0-1 (0-1). (H) Oak Bio Technologies Inc., One Broadway, 14th Floor, CIC, Cambridge, MA 02142, (2) primarily involved in the production, and sale of biofuels overseas (N), (3) chairman and director, (4) 12/2021, (5) as Chairman 0 - 3 (0 - 3). Executive consulting services provided by SMI-Inc. and included in SMI-Inc. (I) BPGbio, Inc., 500 Old Connecticut Path, Bldg B, Framingham, MA 01701, (2) pharmaceutical company (N), (3) director, (4) 10/1/2023, (5) for board meetings, 4-10 (4-10). Legal and business consulting services provided by SMI-Inc. and included in SMI-Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Kenin Mathew Spivak'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
January 24, 2017 - Present
SMI ADVISORS LLC
RIA
CRD#: 226544
Beverly Hills, CA
Current
October 22, 2015 - Present
SMI CAPITAL MARKETS LLC
BD
CRD#: 156441
Altadena, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(11/6/2015)
IAR
California(1/24/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SMI ADVISORS LLC
BOREALIS ADVISORS | SMI ADVISORS LLC | DCC HOLDINGS, LLC | BOREALIS ADVISORS LLC
CRD#: 226544 / SEC#:
California
Registered Investment Advisory firm - (1/24/2017 Approved)Washington
Registered Investment Advisory firm - (3/16/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2018 156th Ave Ne, Bellevue, WA 98007
Mailing Address
Phone number
(206) 499-0158
Established
Firm type
Fiscal year end
# of Employees
2
0
Red Flags
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