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NZ

Nicholas Zarkas

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CRD#: 3018186
NZ

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.

Nicholas Zarkas, who also goes by Nick Zarkas, Nikolaos Zarkas, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1998. Nicholas had worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Zarkas | Nikolaos Zarkas

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 15, 2021 - March 12, 2025

KEPLER CAPITAL MARKETS, INC.

BD
CRD#: 139148
NEW YORK, NY
Past

May 4, 2015 - July 19, 2021

BRYAN GARNIER SECURITIES, LLC

BD
CRD#: 152528
NEW YORK, NY
Past

May 8, 2014 - April 28, 2015

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
NEW YORK, NY
Past

April 11, 2013 - January 16, 2014

ESPOSITO SECURITIES, LLC

BD
CRD#: 143710
DALLAS, TX
Past

January 28, 2008 - January 26, 2009

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

BD
CRD#: 8010
NEW YORK, NY
Past

February 6, 2001 - January 30, 2008

ALPHA FINANCE US CORPORATION

BD
CRD#: 47953
NEW YORK, NY
Past

January 4, 2000 - February 1, 2001

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
RED BANK, NJ
Past

December 14, 1999 - December 20, 1999

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
NEW YORK, NY
Past

May 20, 1998 - September 27, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/26/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/10/2013
General Securities Representative Examination

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#: 139148

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