Jonathan J. Larken
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.
Jonathan Jasper Stuart Larken was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1997. Jonathan had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2013 - July 14, 2014
KEPLER CAPITAL MARKETS, INC.
April 23, 2012 - July 19, 2013
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
January 25, 2011 - February 13, 2012
NATWEST MARKETS SECURITIES INC.
July 16, 1997 - June 24, 2008
ABN AMRO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KEPLER CAPITAL MARKETS, INC.
CRD#: 139148 / SEC#: , 8-67194
Contact information
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
