Jerome G. Merchant

K CAPITAL LLC

New York, NY 10022

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CRD#: 1312998

Professional summary

Jerome Guy Merchant is a registered financial professional currently at K CAPITAL LLC located in New York, New York.

Jerome is registered as a RR (Registered Representative) and started their career in finance in 1984. Jerome has worked at 10 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Jerome Guy Merchant'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

February 21, 2012 - Present

K CAPITAL LLC

Office #1: 805 Third Avenue Floor 14, New York, NY 10022

CRD#: 147191

New York, NY

Past

January 17, 2007 - May 4, 2011

MCGLADREY CAPITAL MARKETS, LLC

CRD#: 47639

COSTA MESA, CA

Past

April 1, 2006 - November 10, 2006

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

November 12, 2003 - April 1, 2006

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

February 5, 2003 - September 2, 2003

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

January 15, 1996 - February 5, 2003

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

June 3, 1993 - June 12, 1995

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

PETALUMA, CA

Past

September 6, 1989 - December 12, 1991

COMMONWEALTH CAPITAL FORMATION, INC.

CRD#: 15865

SACRAMENTO, CA

Past

December 14, 1988 - May 8, 1989

EQUUS SECURITIES INCORPORATED

CRD#: 16285

Past

November 21, 1984 - December 22, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

State Registrations and Notice Filings

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

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

California
(4/11/2012)

Florida
(3/27/2012)

Georgia
(3/27/2012)

Illinois
(5/3/2012)

Louisiana
(4/19/2012)

Massachusetts
(4/3/2012)

Nevada
(4/11/2012)

New Jersey
(8/26/2014)

New York
(4/18/2012)

Ohio
(8/18/2014)

Oklahoma
(3/28/2012)

Tennessee
(3/27/2012)

Texas
(3/27/2012)

Exams

State Security Law Exam

Series 63

Date: 4/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

K CAPITAL LLC

BLACK FOSSIL SECURITIES, LLC | K CAPITAL LLC

CRD#: 147191 / SEC#: , 8-67884

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
KINETIC ADVISORS LLC	OWNER
ANDERSON, KATHERINE ALICE	FINANCIAL AND OPERATIONS CONSULTANT	4723171
BROWN, MICHAEL OWEN	CEO/CCO/PFO/PPO	1658070

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Jerome G. Merchant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jerome Guy Merchant's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCGLADREY CAPITAL MARKETS, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

TOWER SQUARE SECURITIES, INC.

CITICORP INVESTMENT SERVICES

CAL FED INVESTMENTS

INVESTMENT ARCHITECTS, INC.

COMMONWEALTH CAPITAL FORMATION, INC.

EQUUS SECURITIES INCORPORATED

FINANCIAL PLANNERS EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 4/3/1997

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/17/1984

FINRA

Current Firm

K CAPITAL LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

K CAPITAL LLC

TRUST BUT VERIFY

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