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Kenneth C Mak

Btig, LLC

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About Kenneth C Mak

Kenneth Mak is a financial professional registered with Btig, LLC. Kenneth has been in the financial services industry since 2007. Kenneth is registered in 9 states including California, Connecticut, Florida, Illinois, Massachusetts, New Jersey, New York, Pennsylvania, and Texas. Kenneth holds the Series 7, Series 63, Series 99, and Series 79 licenses. Kenneth's previous employers include BNP Paribas Securities Corp., BNP Paribas Prime Brokerage, Inc. and Banc of America Securities LLC.

Firm Information

Kenneth Mak is currently registered with Btig, LLC. Btig, LLC is a Limited Liability Company formed in 2002. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm also holds an approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

154

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Kenneth Mak’s Registration & Firm History

CA

02/07/2023 - Present

Btig, LLC (SAN FRANCISCO CA)

CA

03/16/2018 - 11/03/2022

BNP PARIBAS SECURITIES CORP. (SAN FRANCISCO CA)

CA

08/19/2008 - 07/19/2018

BNP PARIBAS PRIME BROKERAGE, INC. (SAN FRANCISCO CA)

CA

07/19/2007 - 10/01/2008

BANC OF AMERICA SECURITIES LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 02/11/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/17/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/18/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kenneth C Mak.
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