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JM

Jerome G. Merchant

Some features on this profile are disabled
CRD#: 1312998
JM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jerome Guy Merchant was a registered financial professional .

Jerome is a previously registered financial professional and started their career in finance in 1984. Jerome had worked at 10 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 21, 2012 - February 6, 2026

K CAPITAL LLC

BD
CRD#: 147191
NEW YORK, NY
Past

January 17, 2007 - May 4, 2011

MCGLADREY CAPITAL MARKETS, LLC

BD
CRD#: 47639
COSTA MESA, CA
Past

April 1, 2006 - November 10, 2006

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

November 12, 2003 - April 1, 2006

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

February 5, 2003 - September 2, 2003

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

January 15, 1996 - February 5, 2003

CAL FED INVESTMENTS

BD
CRD#: 19631
SACRAMENTO, CA
Past

June 3, 1993 - June 12, 1995

INVESTMENT ARCHITECTS, INC.

BD
CRD#: 17774
PETALUMA, CA
Past

September 6, 1989 - December 12, 1991

COMMONWEALTH CAPITAL FORMATION, INC.

BD
CRD#: 15865
SACRAMENTO, CA
Past

December 14, 1988 - May 8, 1989

EQUUS SECURITIES INCORPORATED

BD
CRD#: 16285
Past

November 21, 1984 - December 22, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

BD
CRD#: 7420

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/3/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1984
General Securities Representative Examination

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#: 147191

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