Luxor Financial Group

CMA- 5k Broker Dealer Approved for 15 Reps and 9 lines of Business -Long Island, NY

Ken Norensberg — Fri, 11 May 2012 19:32:52 +0000

Had this broker dealer approved for 15 reps and nine lines of business in Long Island, NY as follows:

Hire 15 Associated persons;
Broker retailing corporate securities;
Broker retailing corporate debt securities;
Non exchange member arranging for transactions in listed securities by an exchange member;
Mutual Fund Retailer;
Municipal securities broker;
Broker or dealer selling variable life insurance or annuities;
Put and call broker;
Private placements;
Mergers and acquisition advisory services.

Congratulations!

CMA – 5k Broker Dealer Approved For 30 Brokers & Six Lines of Business-NYC

Ken Norensberg — Mon, 16 Apr 2012 11:00:39 +0000

Just had an approval of a 5k Broker Dealer in New York City with approval for 30 brokers!

This Broker Dealer received approval for the following:

Employ 30 Associated Persons;
Broker retailing corporate equity securities over-the-counter;
Broker selling corporate debt securities;
U.S. Government securities broker;
Mutual Fund retailer;
Broker selling variable life insurance or annuities;
Non exchange member arranging for transactions in listed securities by an exchange member.

Congratulations!

CMA- 5k Broker Dealer Approved – California

Ken Norensberg — Wed, 14 Dec 2011 20:00:07 +0000

Just had this very unique 5k Private Placement BD approved as follows:

Private Placements
Operate an online platform that supports the purchase and/or sale of private company shares, as well as portals (links) used to gather customer information, Specifically, the Firm will manage a passive bulletin board; act as a placement agent or selling agent for affiliated funds; engage in secondary market trading with accredited investors for non-public company(s) by matching buyer and seller.

Congratulations!

New 5k Broker Dealer Approval – Pennsylvania

Ken Norensberg — Mon, 12 Dec 2011 18:00:10 +0000

Just had this 5k Broker Dealer approved in Pennsylvania.

They were approved for the following:

Mutual Funds
Variable Life Insurance and annuities
6 offices
75 Associated Persons

Congratulations!

New 100k Broker Dealer Approved NYC

Ken Norensberg — Mon, 21 Nov 2011 14:02:25 +0000

Just had a New Approval of a fantastic 100k Broker Dealer in New York City.

This Broker Dealer received approval for the following:

Broker or Dealer retailing corporate equity securities over-the-counter;
Broker or Dealer selling corporate debt securities;
Underwriter or selling group participant;
Mutual Fund retailer;
Trading Securities for own account;
Private Placements of Securities; and
Mergers and Acquisitions advisory services.

Congratulations!

CMA 5k Broker Dealer approved for 45 brokers and 8 lines of business – NYC

Ken Norensberg — Tue, 06 Sep 2011 15:30:54 +0000

This was a very complex CMA filing for a 5k Broker Dealer in NYC that was approved as follows:

Hire 45 Associated persons and 2 offices;
Broker retailing corporate equity securites Over-the-Counter;
Broker or dealer selling corporate debt securities;
Mutual Fund Retailer;
U.S. Government securities broker;
Broker or dealer selling variable life insurance or annuities;
Investment advisory services;
Private placements;
Put and call broker or options writer.

Congratulations!

FINRA – Board of Governors Meeting NYC

Ken Norensberg — Thu, 03 Feb 2011 21:30:21 +0000

On February 3rd 2011, I, along with my fellow Governors, Jed Bandes and Joel Blumenschein attended the FINRA Board of Governors meeting held at the FINRA offices in New York City.

As always, it was a busy meeting with many items discussed that relate to the day-to-day operations of FINRA, Member concerns, the regulatory environment etc.

The Board is comprised of diverse and talented people who are able to bring their perspectives to the FINRA. It has been a uniquie experience being on the Board and interacting with other Board Members from the public sector as well as industry Members.

FINRA – Regulatory Policy Committee Meeting NYC

Ken Norensberg — Wed, 02 Feb 2011 21:17:00 +0000

On February 2nd 2011, I, along with my fellow Small Firms Governors attended the Regulatory Policy Committee Meeting held at the FINRA New York City offices. The Committee deals with current rules and regulations as well as potential upcoming rules and notices to Members. Additionally, we attended the Emerging Regulatory Issues Subcommittee where various issues that relate to the changing regulatory landscape that are facing the industry are discussed.

Broker Dealer Printing

Ken Norensberg — Wed, 26 Jan 2011 15:41:55 +0000

KBN Printing Solutions Inc – is a Printing and Design company that specializes in producing high end business cards, letterhead, envelopes, brochures, tri-folds, presentation folders, postcards and general marketing materials for Broker Dealers and Financial Companies.

Tel: 347-234-2325

email: Info@kbnprinting.com

Website: www.kbnprinting.com

FINRA – Small Firms Advisory Board Meeting

Ken Norensberg — Thu, 20 Jan 2011 23:30:33 +0000

Today I attended the Small Firms Advisory Board (SFAB) meeting in Washington, DC. Numerous issues that relate to small Broker Dealers as well as the general regualtory lanscape were discussed.

My fellow Governors Joel Blumenschein and Jed Bandes were in attendence as well.