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KS

Kenin M. Spivak

SMI CAPITAL MARKETS
Altadena, CA
Some features on this profile are disabled
CRD#: 6555860
KS

Professional summary

Kenin Mathew Spivak, who also goes by Kenin Spivak, is a registered financial professional currently at SMI CAPITAL MARKETS LLC located in Altadena, California.

Kenin is registered as a RR (Registered Representative) and started their career in finance in 2017. 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"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenin Mathew Spivak's CRS (Customer Relationship Summary).
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

October 22, 2015 - Present

SMI CAPITAL MARKETS LLC

BD
CRD#: 156441
Altadena, CA
Past

January 24, 2017 - April 9, 2026

SMI ADVISORS LLC

RIA
CRD#: 226544
Beverly Hills, CA

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
California
(11/6/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/10/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/6/2015
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 22
Date: 11/4/2015
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 82
Date: 10/29/2015
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79
Date: 10/22/2015
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SMI CAPITAL MARKETS LLC
PARK BRIDGE SECURITIES LLC | SMI CAPITAL MARKETS LLC

CRD#: 156441 / SEC#: , 8-68794

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
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Contact information

Main Address
2018 156th Ave Ne Suite 100 Building F, Bellevue, WA 98007
Mailing Address
12715 Ne 36th Street, Bellevue, WA 98005
Phone number
(206) 499-0158
Established
New York since 03/09/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 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#
SMI GROUP LLCSHAREHOLDER
GARNETT, DALE ALANCCO, CFO724756
SPIVAK, KENIN MATHEWCEO6555860
SWANSON, EDWARD THOMASPRESIDENT6584165

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

SMI CAPITAL MARKETS LLC

CRD#: 156441Altadena, CA

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