Brian W. Foley

KEPLER CAPITAL MARKETS

New York, NY 10017

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CRD#: 2729022

Professional summary

Brian William Foley, who also goes by Brian W Foley, is a registered financial professional currently at KEPLER CAPITAL MARKETS, INC. located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian W Foley

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 Brian William Foley'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

September 2, 2025 - Present

KEPLER CAPITAL MARKETS, INC.

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

CRD#: 139148

New York, NY

Past

April 27, 2022 - October 7, 2024

PROVABLE MARKETS LLC

CRD#: 312003

NEW YORK, NY

Past

March 31, 2021 - April 15, 2022

PROOF SERVICES LLC

CRD#: 306369

NEW YORK, NY

Past

September 17, 2013 - June 22, 2020

IEX SERVICES LLC

CRD#: 167872

New York, NY

Past

May 2, 2011 - September 19, 2012

LIQUIDNET, INC.

CRD#: 103987

NEW YORK, NY

Past

February 13, 2001 - December 1, 2010

LIQUIDNET, INC.

CRD#: 103987

NEW YORK, NY

Past

April 20, 2000 - February 7, 2001

INSTINET.COM CORPORATION

CRD#: 47380

NEW YORK, NY

Past

April 30, 1999 - April 19, 2000

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 29, 1996 - February 10, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Alabama
(9/2/2025)

Alaska
(9/2/2025)

Arizona
(9/2/2025)

California
(9/2/2025)

Colorado
(9/2/2025)

Connecticut
(9/2/2025)

Delaware
(9/2/2025)

District of Columbia
(9/2/2025)

Florida
(9/2/2025)

Georgia
(9/2/2025)

Hawaii
(9/2/2025)

Illinois
(9/4/2025)

Iowa
(9/2/2025)

Kansas
(9/2/2025)

Maine
(9/2/2025)

Maryland
(9/2/2025)

Massachusetts
(9/2/2025)

Michigan
(9/2/2025)

Minnesota
(9/2/2025)

Missouri
(9/2/2025)

Nebraska
(9/2/2025)

Nevada
(9/2/2025)

New Hampshire
(9/2/2025)

New Jersey
(9/2/2025)

New Mexico
(9/2/2025)

New York
(9/2/2025)

North Carolina
(9/2/2025)

North Dakota
(9/2/2025)

Ohio
(9/3/2025)

Oklahoma
(9/2/2025)

Oregon
(9/2/2025)

Pennsylvania
(9/2/2025)

Rhode Island
(9/2/2025)

South Dakota
(9/2/2025)

Tennessee
(9/2/2025)

Texas
(9/2/2025)

Utah
(9/2/2025)

Vermont
(9/2/2025)

Virginia
(9/2/2025)

Washington
(9/2/2025)

Wisconsin
(9/2/2025)

Wyoming
(9/2/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/30/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/17/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/26/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/20/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KEPLER CAPITAL MARKETS, INC.

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

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

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

Name	Position	CRD#
KEPLER CHEUVREUX S.A.	SHAREHOLDER
LAVAGNINO, CHRISTOPHER KERR	CEO/COO/CCO	2960731
MARRONE, MICHAEL THOMAS	FINOP	4859949
QUIRIN, LAURENT ROBERT	CHAIRMAN OF THE BOARD OF DIRECTORS	5090235
VARENNE, GREGOIRE HUBERT MARIE FRANCOI	CHAIRMAN OF MANAGEMENT BOARD	7475753

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Brian W. Foley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian William Foley's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROVABLE MARKETS LLC

PROOF SERVICES LLC

IEX SERVICES LLC

LIQUIDNET, INC.

LIQUIDNET, INC.

INSTINET.COM CORPORATION

OSAIC WEALTH, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 5/30/1997

Series 63

Date: 5/17/1996

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/17/2001

Series 7

Date: 4/26/1996

Series 4

Date: 11/20/1999

Series 24

Date: 8/24/1999

FINRA

Current Firm

KEPLER CAPITAL MARKETS, INC.

Contact information

FINRA licenses (42 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KEPLER CAPITAL MARKETS, INC.

TRUST BUT VERIFY

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