JK
Jesse M. Kugler
H.C.WAINWRIGHT & CO.
New York, NY 10022
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CRD#: 6707521
JK
Professional summary
Jesse Michael Kugler, who also goes by Jesse Kugler, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Jesse is registered as a RR (Registered Representative) and started their career in finance in 2017. Jesse has worked at 2 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jesse Kugler
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.
CRS (Client Relationship Summary) - BD
Click below to view Jesse Michael Kugler'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
June 4, 2019 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022BD
CRD#: 375
New York, NY
Past
March 20, 2017 - May 30, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
January 31, 2017 - May 30, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(10/25/2019)
RR
Alaska(10/25/2019)
RR
Arizona(10/25/2019)
RR
Arkansas(10/25/2019)
RR
California(10/25/2019)
RR
Colorado(10/25/2019)
RR
Connecticut(10/25/2019)
RR
Delaware(10/25/2019)
RR
District of Columbia(10/25/2019)
RR
Florida(10/25/2019)
RR
Georgia(10/25/2019)
RR
Hawaii(10/25/2019)
RR
Idaho(10/25/2019)
RR
Illinois(10/25/2019)
RR
Indiana(10/25/2019)
RR
Iowa(10/25/2019)
RR
Kansas(10/25/2019)
RR
Kentucky(10/25/2019)
RR
Louisiana(10/25/2019)
RR
Maine(10/25/2019)
RR
Maryland(10/25/2019)
RR
Massachusetts(10/25/2019)
RR
Michigan(10/25/2019)
RR
Minnesota(10/25/2019)
RR
Mississippi(10/25/2019)
RR
Missouri(10/25/2019)
RR
Montana(10/25/2019)
RR
Nebraska(10/25/2019)
RR
Nevada(10/25/2019)
RR
New Hampshire(10/25/2019)
RR
New Jersey(10/25/2019)
RR
New Mexico(10/25/2019)
RR
New York(6/4/2019)
RR
North Carolina(10/25/2019)
RR
North Dakota(10/25/2019)
RR
Ohio(10/25/2019)
RR
Oklahoma(10/25/2019)
RR
Oregon(10/25/2019)
RR
Pennsylvania(10/25/2019)
RR
Puerto Rico(10/25/2019)
RR
Rhode Island(10/25/2019)
RR
South Carolina(10/25/2019)
RR
South Dakota(10/25/2019)
RR
Texas(10/25/2019)
RR
Utah(10/25/2019)
RR
Vermont(10/25/2019)
RR
Virgin Islands(10/25/2019)
RR
Virginia(10/25/2019)
RR
Washington(10/25/2019)
RR
West Virginia(10/25/2019)
RR
Wisconsin(10/25/2019)
RR
Wyoming(10/25/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 3/1/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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.
