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AB

Andrew D. Bartholet

K CAPITAL LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 7705068
AB

Professional summary

Andrew David Bartholet is a registered financial professional currently at K CAPITAL LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2023. Andrew has worked at 1 firm and has passed the Series 63, Series 79TO 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 Andrew David Bartholet'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®
None

Experience

Current

March 16, 2023 - Present

K CAPITAL LLC

Office #1: 805 Third Avenue Floor 14, New York, NY 10022
BD
CRD#: 147191
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
Arizona
(10/12/2023)
RR
New York
(3/30/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/30/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/16/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/28/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

KC
K CAPITAL LLC
BLACK FOSSIL SECURITIES, LLC | K CAPITAL LLC

CRD#: 147191 / SEC#: , 8-67884

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

Main Address
805 Third Avenue Floor 14, New York, NY 10022
Mailing Address
805 Third Avenue Floor 14, New York, NY 10022
Phone number
(917) 338-1260
Established
Delaware since 01/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KINETIC ADVISORS LLCOWNER
ANDERSON, KATHERINE ALICEFINANCIAL AND OPERATIONS CONSULTANT4723171
BROWN, MICHAEL OWENCEO/CCO/PFO/PPO1658070

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

K CAPITAL LLC

CRD#: 147191New York, NY 10022

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