Jason F. Kroplewski
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 Frank Kroplewski, who also goes by Jason Kroft, Jay Kroft, Jason Krop, Jay Krop, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2003. Jason had worked at 6 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
August 5, 2011 - March 12, 2012
JOHN CARRIS INVESTMENTS LLC
February 19, 2010 - May 28, 2010
TD WEALTH MANAGEMENT SERVICES INC.
April 17, 2009 - December 1, 2009
WINDSOR STREET CAPITAL, LP
May 3, 2006 - November 9, 2007
UBS SERVICES USA LLC
February 24, 2005 - December 21, 2005
GREAT EASTERN SECURITIES, INC.
January 8, 2003 - February 1, 2005
THINKEQUITY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOHN CARRIS INVESTMENTS LLC
CRD#: 145767 / SEC#: , 8-67751
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVICTUS CAPITAL INC | HOLDING COMPANY | |
| CARRIS, GEORGE WILLIAM MR. | CEO, COO, CCO | 3079577 |
| CLARK, MICHAEL KEVIN | MANAGING DIRECTOR | |
| NELSON, STEVEN | OWNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
