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JH

James D. Harvey

KEPLER CAPITAL MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 4860644
JH

Professional summary

James Daniel Harvey is a registered financial professional currently at KEPLER CAPITAL MARKETS, INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 James Daniel Harvey'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

October 14, 2024 - Present

KEPLER CAPITAL MARKETS, INC.

Office #1: 12 East 49th Street 31st Floor, New York, NY 10017
BD
CRD#: 139148
New York, NY
Past

January 31, 2023 - October 14, 2024

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
STAMFORD, CT
Past

October 26, 2020 - January 31, 2023

MKM PARTNERS LLC

BD
CRD#: 114666
STAMFORD, CT
Past

March 2, 2020 - October 21, 2020

MACRO RISK ADVISORS LLC

BD
CRD#: 148143
RYE, NY
Past

February 21, 2017 - January 17, 2020

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

April 1, 2016 - February 17, 2017

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

July 18, 2011 - March 22, 2016

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

February 1, 2007 - August 1, 2011

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

November 13, 2006 - February 5, 2007

COLLINS STEWART INC.

BD
CRD#: 47414
NEW YORK, NY
Past

February 1, 2005 - December 5, 2006

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

January 31, 2005 - January 31, 2005

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(10/15/2024)
RR
Alaska
(10/22/2024)
RR
Arizona
(10/30/2024)
RR
California
(10/14/2024)
RR
Colorado
(10/16/2024)
RR
Connecticut
(10/14/2024)
RR
Delaware
(10/28/2024)
RR
District of Columbia
(10/16/2024)
RR
Florida
(10/15/2024)
RR
Georgia
(10/16/2024)
RR
Hawaii
(10/15/2024)
RR
Illinois
(11/6/2024)
RR
Iowa
(10/17/2024)
RR
Kansas
(10/15/2024)
RR
Maine
(10/15/2024)
RR
Maryland
(10/29/2024)
RR
Michigan
(10/16/2024)
RR
Minnesota
(10/16/2024)
RR
Missouri
(10/15/2024)
RR
Nebraska
(10/16/2024)
RR
Nevada
(10/15/2024)
RR
New Hampshire
(10/15/2024)
RR
New Jersey
(10/14/2024)
RR
New Mexico
(10/16/2024)
RR
New York
(10/14/2024)
RR
North Carolina
(10/16/2024)
RR
North Dakota
(10/21/2024)
RR
Ohio
(10/14/2024)
RR
Oklahoma
(10/16/2024)
RR
Oregon
(10/17/2024)
RR
Pennsylvania
(10/15/2024)
RR
Rhode Island
(10/15/2024)
RR
South Dakota
(10/15/2024)
RR
Tennessee
(10/15/2024)
RR
Texas
(10/15/2024)
RR
Utah
(10/15/2024)
RR
Vermont
(10/15/2024)
RR
Virginia
(10/15/2024)
RR
Washington
(10/15/2024)
RR
Wisconsin
(10/15/2024)
RR
Wyoming
(11/20/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/13/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/10/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/10/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

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#: 139148New York, NY 10017

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