Karan Kapoor
Professional summary
Karan Kapoor is a registered financial professional currently at CANTOR FITZGERALD & CO. located in San Francisco, California.
Karan is registered as a RR (Registered Representative) and started their career in finance in 2011. Karan has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karan Kapoor's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2024 - Present
CANTOR FITZGERALD & CO.
Office #1: One Sansome St. 41st Floor, San Francisco, CA 94104June 25, 2019 - January 19, 2024
KROLL SECURITIES LLC
March 29, 2018 - June 13, 2019
FALLBROOK CAPITAL SECURITIES CORP.
April 27, 2016 - October 20, 2017
UBS SECURITIES LLC
October 23, 2013 - April 8, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 2, 2012 - October 21, 2013
KROLL SECURITIES LLC
December 8, 2011 - October 21, 2013
PAGEMILL PARTNERS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/22/2024)
Exams
Series 7TO
Date: 8/7/2019
General Securities Representative ExaminationCboe BYX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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