AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JS

Jason I. Simon

KEPLER CAPITAL MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 2618055
JS

Professional summary

Jason Ian Simon is a registered financial professional currently at KEPLER CAPITAL MARKETS, INC. located in New York, New York.

Jason is registered as a RR (Registered Representative) and started their career in finance in 1995. Jason has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Jason Ian Simon'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

May 9, 2022 - Present

KEPLER CAPITAL MARKETS, INC.

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

June 16, 2008 - May 24, 2022

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

April 26, 2007 - June 18, 2008

VDM TRADING, LLC

BD
CRD#: 137999
NEW YORK, NY
Past

September 19, 2005 - April 24, 2007

HUDSON SECURITIES,INC.

BD
CRD#: 10467
JERSEY CITY, NJ
Past

April 24, 2003 - September 19, 2005

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

February 2, 1998 - December 9, 2002

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

October 14, 1997 - February 2, 1998

NASH, WEISS & CO.

BD
CRD#: 42967
JERSEY CITY, NJ
Past

December 7, 1995 - October 14, 1997

NASH, WEISS & CO.

BD
CRD#: 6470
JERSEY CITY, NJ
Past

June 20, 1995 - November 30, 1995

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
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
(5/9/2022)
RR
Alaska
(5/9/2022)
RR
Arizona
(5/9/2022)
RR
California
(5/9/2022)
RR
Colorado
(5/9/2022)
RR
Connecticut
(5/9/2022)
RR
Delaware
(5/9/2022)
RR
District of Columbia
(5/9/2022)
RR
Florida
(5/9/2022)
RR
Georgia
(5/9/2022)
RR
Hawaii
(5/9/2022)
RR
Illinois
(5/9/2022)
RR
Iowa
(5/9/2022)
RR
Kansas
(5/9/2022)
RR
Maine
(5/9/2022)
RR
Maryland
(5/9/2022)
RR
Massachusetts
(5/9/2022)
RR
Michigan
(5/9/2022)
RR
Minnesota
(5/9/2022)
RR
Missouri
(5/9/2022)
RR
Nebraska
(5/9/2022)
RR
Nevada
(5/9/2022)
RR
New Hampshire
(5/9/2022)
RR
New Jersey
(5/9/2022)
RR
New Mexico
(5/9/2022)
RR
New York
(5/9/2022)
RR
North Carolina
(5/9/2022)
RR
North Dakota
(5/9/2022)
RR
Ohio
(5/9/2022)
RR
Oklahoma
(5/9/2022)
RR
Oregon
(5/9/2022)
RR
Pennsylvania
(5/9/2022)
RR
Rhode Island
(5/9/2022)
RR
South Dakota
(5/9/2022)
RR
Tennessee
(5/9/2022)
RR
Texas
(5/9/2022)
RR
Utah
(5/9/2022)
RR
Vermont
(5/9/2022)
RR
Virginia
(5/9/2022)
RR
Washington
(5/9/2022)
RR
Wisconsin
(5/9/2022)
RR
Wyoming
(11/19/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2005
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: 1/30/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/5/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/27/2009
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/5/1998
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Jason Simon

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics