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MK

Mark K. Ku

EQUITEQ SECURITIES LLC
New York, NY 10016
Some features on this profile are disabled
CRD#: 7780230
MK

Professional summary

Mark Kunwoo Ku, who also goes by Mark Kunwood Ku, is a registered financial professional currently at EQUITEQ SECURITIES LLC located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2023. Mark 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

Mark Kunwood Ku

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 Mark Kunwoo Ku'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

August 7, 2023 - Present

EQUITEQ SECURITIES LLC

Office #1: 460 Park Avenue South Suite 1102, New York, NY 10016
BD
CRD#: 283799
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
New York
(8/19/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/7/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/3/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EQUITEQ SECURITIES LLC
EQUITEQ INC. | EQUITEQ SECURITIES LLC

CRD#: 283799 / SEC#: , 8-69767

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

Main Address
460 Park Avenue South Suite 1102, New York, NY 10016
Mailing Address
460 Park Avenue South Suite 1102, New York, NY 10016
Phone number
(212) 256-1120
Established
Delaware since 08/11/2016
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

Direct owners and executive officers

NamePositionCRD#
EQUITEQ INC.SOLE MEMBER
ASARO, PAUL JOSEPHFINOP4243619
FINCKE, GREGCEO6682361
IGNALL, EVAN TODDCCO2039007
JORGENSON, DAVID HAMMONDPRESIDENT4684856

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

EQUITEQ SECURITIES LLC

CRD#: 283799New York, NY 10016

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