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AK

Audrey M. Klein

Some features on this profile are disabled
CRD#: 702336
AK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Audrey Michelle Klein, who also goes by Audrey Michelle Kapneck, Audrey Michelle Kleinkapneck, was a registered financial professional .

Audrey is a previously registered financial professional and started their career in finance in 1979. Audrey had worked at 7 firms and has passed the Series 63, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Audrey Michelle Kapneck | Audrey Michelle Kleinkapneck

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 12, 2008 - October 16, 2009

FIRST BROKERS SECURITIES LLC

BD
CRD#: 27369
JERSEY CITY, NJ
Past

March 25, 2008 - November 12, 2008

PHOENIX DERIVATIVES GROUP, LLC

BD
CRD#: 25802
NEW YORK, NY
Past

March 7, 2008 - March 25, 2008

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

September 18, 2006 - February 11, 2008

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

February 18, 1994 - September 18, 2006

MCFADDEN, FARRELL & SMITH, L.P.

BD
CRD#: 26245
NEW YORK, NY
Past

March 31, 1993 - February 16, 1994

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

October 25, 1986 - July 26, 1988

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
Past

December 19, 1979 - October 14, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 6/5/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/15/1979
General Securities Representative Examination

Current Firm

FB
FIRST BROKERS SECURITIES LLC
FIRST BROKERS SECURITIES LLC | JUPITER SECURITIES, A DIVISION OF FIRST BROKERS SECURITIES LLC | FIRST BROKERS SECURITIES, INC.

CRD#: 27369 / SEC#: , 8-43035

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

Main Address
Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311
Mailing Address
Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311
Phone number
(212) 513-4444
Established
Delaware since 11/19/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 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#
AO-FIRST BROKERS, LLCMEMBER
ICAP GLOBAL BROKING INC.MEMBER
BERNARDO, SHAWN FRANCISDIRECTOR2513376
DOWER, ROBERT HAROLDDIRECTOR, CFO1540678
GURKOVIC, CHRISTOPHER EMERICKCOO/CCO2978797
OKEEFE, ANDREW JOHNDIRECTOR, PRESIDENT AND CEO1042045
SOLDIVIERO, LUCIANO MICHAELDIRECTOR2487532

Disclosures

Regulatory Event3

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

FIRST BROKERS SECURITIES LLC

CRD#: 27369

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