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KEVIN RONALD KRAMER
CRD#: 3215803
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 2000 Avenue of the Stars
Suite 530 N
Los Angeles, CA 90067
Suite 530 N
Los Angeles, CA 90067
0
Disclosures
25
Years of Experience
View By:
State Registrations
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Alabama 1/4/2024
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Mississippi 1/4/2024
B
Alaska 1/4/2024
B
Missouri 1/4/2024
B
Arizona 3/30/2022
B
Nevada 10/8/2021
B
Arkansas 10/8/2021
B
New Jersey 1/4/2024
B
California 10/8/2021
B
New York 10/8/2021
IA
California 9/23/2022
IA
New York 10/9/2021
B
Colorado 3/10/2023
B
North Carolina 1/4/2024
B
Connecticut 1/4/2024
B
Ohio 10/8/2021
B
Delaware 1/4/2024
B
Oklahoma 1/4/2024
B
District of Columbia 4/12/2024
B
Oregon 1/4/2024
B
Florida 10/8/2021
B
Pennsylvania 10/8/2021
B
Georgia 1/4/2024
B
South Carolina 3/10/2023
B
Idaho 10/8/2021
B
South Dakota 1/4/2024
B
Illinois 10/8/2021
B
Tennessee 1/4/2024
B
Indiana 1/4/2024
B
Texas 10/8/2021
B
Louisiana 1/4/2024
IA
Texas 10/8/2021
B
Maryland 10/8/2021
B
Washington 10/8/2021
B
Massachusetts 1/4/2024
B
Wisconsin 10/8/2021
B
Michigan 10/8/2021
B
Wyoming 2/28/2025
B
Minnesota 1/4/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 10/8/2021
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Registered with this firm since 10/8/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/19/2008 - 11/02/2021 | LOS ANGELES, CA | |
B | 09/19/2008 - 11/02/2021 | LOS ANGELES, CA | |
IA | 04/01/2008 - 10/02/2008 | LOS ANGELES, CA | |
B | 11/09/2004 - 10/02/2008 | LOS ANGELES, CA | |
B | 05/01/2001 - 11/09/2004 | NEW YORK, NY | |
B | 05/11/1999 - 05/01/2001 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.