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DK

Dean Krauss

BROAD STREET CAPITAL MARKETS
Holmdel, NJ 07733
Some features on this profile are disabled
CRD#: 7038690
DK

Professional summary

Dean Krauss is a registered financial professional currently at BROAD STREET CAPITAL MARKETS, LLC located in Holmdel, New Jersey.

Dean is registered as a RR (Registered Representative) and started their career in finance in 2019. Dean has worked at 2 firms and has passed the Series 63, Series 7TO and SIE 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 Dean Krauss'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

January 5, 2022 - Present

BROAD STREET CAPITAL MARKETS, LLC

Office #1: 101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
BD
CRD#: 104026
Holmdel, NJ
Past

June 20, 2019 - July 14, 2021

MAXIM GROUP LLC

BD
CRD#: 120708
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
Florida
(1/5/2022)
RR
New Jersey
(1/5/2022)
RR
Pennsylvania
(1/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/23/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/20/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/19/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROAD STREET CAPITAL MARKETS, LLC
AMERICAN DIVERSIFIED FINANCIAL GROUP LLC | BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026 / SEC#: , 8-52487

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

Main Address
101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
Mailing Address
101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
Phone number
(862) 367-9930
Established
Indiana since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (13 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#
BERGEN CAPITAL ADVISORS, LLCOWNER
ADDERLY, ANDREW GENECEO/CHIEF COMPLIANCE OFFICER4388648
RANKEL, WILLIAM EDWINFINOP/CFO2074785

Disclosures

Regulatory Event1

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

BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026Holmdel, NJ 07733

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