Jason D. Kantor
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.
Jason Daniel Kantor was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1998. Jason had worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86 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
November 8, 2012 - June 1, 2015
CREDIT SUISSE SECURITIES (USA) LLC
February 29, 2008 - July 13, 2012
RBC CAPITAL MARKETS, LLC
April 5, 2005 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
July 24, 2002 - March 23, 2005
W.R. HAMBRECHT + CO., LLC
May 1, 2001 - April 23, 2002
J.P. MORGAN SECURITIES INC.
September 2, 1998 - May 1, 2001
JPMSI
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
