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MM

Michael A. Massimino

KEPLER CAPITAL MARKETS
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 2444495
MM
Michael Anthony MassiminoKEPLER CAPITAL MARKETS

Professional summary

Michael Anthony Massimino, who also goes by Mike Massimino, is a registered financial professional currently at KEPLER CAPITAL MARKETS, INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 62 and Series 24 exams.

Aliases

Mike Massimino

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 Michael Anthony Massimino'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

August 4, 2026 - Present

KEPLER CAPITAL MARKETS, INC.

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

August 30, 2021 - July 20, 2026

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

April 23, 2013 - July 21, 2021

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

October 24, 2012 - April 22, 2013

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

February 28, 2012 - October 24, 2012

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

January 30, 2012 - February 27, 2012

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
RED BANK, NJ
Past

October 1, 2008 - January 12, 2012

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
NEW YORK, NY
Past

August 18, 2003 - August 27, 2008

LEERINK PARTNERS LLC

BD
CRD#: 39011
NEW YORK, NY
Past

December 17, 2001 - June 20, 2003

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

December 10, 1996 - December 12, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

November 30, 1994 - October 16, 1996

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

April 11, 1994 - August 8, 1994

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

February 16, 1994 - April 7, 1994

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY

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
Alabama
(8/4/2026)
RR
Alaska
(8/4/2026)
RR
Arizona
(8/4/2026)
RR
California
(8/4/2026)
RR
Colorado
(8/4/2026)
RR
Connecticut
(8/4/2026)
RR
Delaware
(8/4/2026)
RR
District of Columbia
(8/4/2026)
RR
Florida
(8/4/2026)
RR
Georgia
(8/4/2026)
RR
Hawaii
(8/4/2026)
RR
Illinois
(8/4/2026)
RR
Iowa
(8/4/2026)
RR
Kansas
(8/4/2026)
RR
Maine
(8/4/2026)
RR
Maryland
(8/4/2026)
RR
Massachusetts
(8/4/2026)
RR
Michigan
(8/4/2026)
RR
Minnesota
(8/4/2026)
RR
Missouri
(8/4/2026)
RR
Nebraska
(8/4/2026)
RR
Nevada
(8/4/2026)
RR
New Hampshire
(8/4/2026)
RR
New Jersey
(8/4/2026)
RR
New Mexico
(8/4/2026)
RR
New York
(8/4/2026)
RR
North Carolina
(8/4/2026)
RR
North Dakota
(8/4/2026)
RR
Ohio
(8/4/2026)
RR
Oklahoma
(8/4/2026)
RR
Oregon
(8/4/2026)
RR
Pennsylvania
(8/4/2026)
RR
Rhode Island
(8/4/2026)
RR
South Dakota
(8/4/2026)
RR
Tennessee
(8/4/2026)
RR
Texas
(8/4/2026)
RR
Utah
(8/4/2026)
RR
Vermont
(8/4/2026)
RR
Virginia
(8/4/2026)
RR
Washington
(8/4/2026)
RR
Wisconsin
(8/4/2026)
RR
Wyoming
(8/4/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/22/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/8/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 2/15/1994
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/2021
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)

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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