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KJ

Karan Jolly

ERNST & YOUNG CAPITAL ADVISORS
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 5223396
KJ

Professional summary

Karan Jolly is a registered financial professional currently at ERNST & YOUNG CAPITAL ADVISORS, LLC located in Cleveland, Ohio.

Karan is registered as a RR (Registered Representative) and started their career in finance in 2006. Karan has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 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 Karan Jolly'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

May 31, 2022 - Present

ERNST & YOUNG CAPITAL ADVISORS, LLC

Office #1: 1001 Lakeside Avenue Suite 1800, Cleveland, OH 44114
BD
CRD#: 152514
Cleveland, OH
Past

June 7, 2019 - May 25, 2022

KPMG CORPORATE FINANCE LLC

BD
CRD#: 103973
CHICAGO, IL
Past

October 13, 2017 - March 6, 2018

CAIN BROTHERS & COMPANY, LLC

BD
CRD#: 13649
NEW YORK, NY
Past

November 28, 2006 - March 1, 2019

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

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
Arizona
(5/31/2022)
RR
Arkansas
(5/31/2022)
RR
California
(5/31/2022)
RR
Colorado
(5/31/2022)
RR
Connecticut
(5/31/2022)
RR
Delaware
(5/31/2022)
RR
District of Columbia
(5/31/2022)
RR
Florida
(5/31/2022)
RR
Georgia
(5/31/2022)
RR
Illinois
(5/31/2022)
RR
Indiana
(5/31/2022)
RR
Iowa
(5/31/2022)
RR
Kentucky
(5/31/2022)
RR
Louisiana
(5/31/2022)
RR
Maryland
(5/31/2022)
RR
Massachusetts
(5/31/2022)
RR
Michigan
(5/31/2022)
RR
Minnesota
(5/31/2022)
RR
Mississippi
(5/31/2022)
RR
Missouri
(5/31/2022)
RR
Nevada
(5/31/2022)
RR
New Jersey
(5/31/2022)
RR
New York
(5/31/2022)
RR
North Carolina
(5/31/2022)
RR
Ohio
(5/31/2022)
RR
Oregon
(5/31/2022)
RR
Pennsylvania
(5/31/2022)
RR
Rhode Island
(5/31/2022)
RR
Tennessee
(1/16/2024)
RR
Texas
(5/31/2022)
RR
Vermont
(5/31/2022)
RR
Virginia
(5/31/2022)
RR
Washington
(5/31/2022)
RR
West Virginia
(5/31/2022)
RR
Wisconsin
(5/31/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

E&
ERNST & YOUNG CAPITAL ADVISORS, LLC
ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514 / SEC#: , 8-68461

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Manhattan West, New York, NY 10001
Mailing Address
One Manhattan West, New York, NY 10001
Phone number
(212) 773-3000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EYCA HOLDINGS LLCDIRECT OWNER
ARNOLIE, JENNIFER PICKARDDIRECTOR7072219
COSTA, SERGIOCHIEF COMPLIANCE OFFICER5746445
JOHNSON, PUTRA LFINOP/OFFICER5025564
WOODBY, JOHN PATRICKPRESIDENT, CEO & CONTROL PERSON2526475

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

ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514Cleveland, OH 44114

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