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AT

Andrew L. Totman

KEPLER CAPITAL MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 1479719
AT

Professional summary

Andrew Lawrence Totman, who also goes by Andrew Laurence Totman, is a registered financial professional currently at KEPLER CAPITAL MARKETS, INC. located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1989. Andrew has worked at 7 firms and has passed the Series 63, Series 7TO, Series 3, SIE, Series 7, Series 30, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Laurence Totman

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 Andrew Lawrence Totman'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

June 7, 2025 - Present

KEPLER CAPITAL MARKETS, INC.

Office #1: 12 East 49th Street 31st Floor, New York, NY 10017
BD
CRD#: 139148
New York, NY
Past

March 14, 2023 - June 20, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
St Charles, IL
Past

June 17, 2020 - April 14, 2021

MFR SECURITIES, INC.

BD
CRD#: 36308
NAPLES, FL
Past

January 18, 2018 - August 2, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
St Charles, IL
Past

April 11, 2014 - February 8, 2016

MAREX CAPITAL MARKETS INC.

BD
CRD#: 161014
Chicago, IL
Past

January 2, 2008 - December 2, 2013

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

October 13, 1992 - September 1, 2008

NEWEDGE FINANCIAL INC.

BD
CRD#: 27322
CHICAGO, IL
Past

February 14, 1989 - March 14, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(6/7/2025)
RR
New York
(6/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/14/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 6/6/2025
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/19/2012
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KEPLER CAPITAL MARKETS, INC.
KEPLER CAPITAL MARKETS, INC. | LANDSBANKI KEPLER, INC. | KEPLER EQUITIES, INC. | KEPLER CHEUVREUX NORTH AMERICA

CRD#: 139148 / SEC#: , 8-67194

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
12 East 49th Street 31st Floor, New York, NY 10017
Mailing Address
12 East 49th Street Suite 3107, New York, NY 10017
Phone number
(212) 710-7600
Established
Delaware since 09/23/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KEPLER CHEUVREUX S.A.SHAREHOLDER
LAVAGNINO, CHRISTOPHER KERRCEO/COO/CCO2960731
MARRONE, MICHAEL THOMASFINOP4859949
QUIRIN, LAURENT ROBERTCHAIRMAN OF THE BOARD OF DIRECTORS5090235
VARENNE, GREGOIRE HUBERT MARIE FRANCOICHAIRMAN OF MANAGEMENT BOARD7475753

Disclosures

Regulatory Event1

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

KEPLER CAPITAL MARKETS, INC.

CRD#: 139148New York, NY 10017

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