JD
Jon A. Duprau
QUANTUM PORTFOLIO MANAGEMENT | Financial Advisor
New York, NY 10022
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CRD#: 4349379
JD
Professional summary
Jon A Duprau, who also goes by Jon Anthony Duprau, is a registered financial advisor currently at QUANTUM PORTFOLIO MANAGEMENT, LLC located in New York, New York and INDEX TECHNOLOGIES GROUP LLC located in New York, New York.
Jon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Jon has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Anthony Duprau
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.
1. Insurance Agent, address same as office address, Investment-related, Position/Title: Insurance Agent, Start Date: 11/13/2015, Spend 1 hour per month on this activity all during securities trading hours. 2. Index Technologies Group, LLC, address same as office address. Investment-related, Title same as Quantum, Start Date: 09/2023, Spend 50% of time. 3. Azusa Pacific Unversity, Not investment-related, 901 Alosta Avenue, Azusa, CA 91702, Education/University, Position: Advisor of business council/advise business school. Start-1/1/24. 3 or less hours worked per month. 0 hours during securities trading hours. 4. California Polytechnic State University, Not investment-related, 1 Grand Avenue, San Luis Obispo, CA 93407. Education/University, Position: Advisor on business council/advise business school. Start-9/15/23, 3 or less hours worked per month. 0 hours during securities trading hours. 5. Quantum Portfolio Management, LLC, address same as office address. Investment-related, Title Managing Partner, Start Date: 02/2023, Spend 50% of time. 6. Arax Investment Partners, address same as office address. Investment-related. Nature of business: Financial Services, Title: Chief Investment Strategist, Start date: 10/2024, 5-10 hours spent per month all during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jon A Duprau'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®
NoneExperience
Current
May 22, 2023 - Present
QUANTUM PORTFOLIO MANAGEMENT, LLC
Office #1: 10 E. 53rd Street Suite 1400, New York, NY 10022RIA
CRD#: 326280
New York, NY
Current
May 21, 2024 - Present
INDEX TECHNOLOGIES GROUP LLC
Office #1: 10 E. 53rd Street Suite 1400, New York, NY 10022RIA
CRD#: 327771
New York, NY
Past
June 3, 2024 - March 7, 2025
ASHTON THOMAS SECURITIES, LLC
BD
CRD#: 16629
New York, NY
Past
May 21, 2024 - June 25, 2025
ASHTON THOMAS SECURITIES, LLC
RIA
CRD#: 16629
New York, NY
Past
April 13, 2018 - June 21, 2023
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
New York, NY
Past
April 12, 2018 - June 21, 2023
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
New York, NY
Past
May 12, 2011 - April 17, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SANTA BARBARA, CA
Past
May 12, 2011 - April 17, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SANTA BARBARA, CA
Past
July 1, 2003 - May 13, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SANTA BARBARA, CA
Past
July 1, 2003 - May 13, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SANTA BARBARA, CA
Past
October 18, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
SANTA BARBARA, CA
Past
July 17, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
QP
QUANTUM PORTFOLIO MANAGEMENT, LLC
CUSTOM INDEX SOLUTIONS, LLC | QUANTUM PORTFOLIO MANAGEMENT, LLC | QUANTUM PORTFOLIO MANAGEMENT | CUSTOM INDEX SYSTEMS, LLC
CRD#: 326280 / SEC#: 801-127936
RIA
Registered Investment Advisory firm - (5/9/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(5/22/2023)
IAR
Texas(1/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
QP
QUANTUM PORTFOLIO MANAGEMENT, LLC
CUSTOM INDEX SOLUTIONS, LLC | QUANTUM PORTFOLIO MANAGEMENT, LLC | QUANTUM PORTFOLIO MANAGEMENT | CUSTOM INDEX SYSTEMS, LLC
CRD#: 326280 / SEC#: 801-127936
RIA
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Contact information
Main Address
10 E. 53rd Street Suite 1400, New York, NY 10022
Mailing Address
Phone number
(212) 466-6760
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 267 |
| AUM (Assets Under Management) | $ 295,145,763 |
Red Flags
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Company Information
QUANTUM PORTFOLIO MANAGEMENT, LLC
Financial AdvisorCRD#: 326280New York, NY 10022TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
