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JK

Joshua R. Kasper

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CRD#: 6465718
JK

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.

Joshua Raymond Kasper, who also goes by Joshua R Kasper, Joshua Kasper, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2015. Joshua had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joshua R Kasper | Joshua Kasper

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 3, 2024 - October 16, 2024

GLOBACAP PRIVATE MARKETS INC.

BD
CRD#: 328777
NEW YORK, NY
Past

May 24, 2022 - January 4, 2024

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

July 31, 2019 - May 4, 2022

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

May 11, 2015 - May 24, 2016

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/31/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/9/2015
General Securities Representative Examination

Current Firm

GP
GLOBACAP PRIVATE MARKETS INC.
CBOE PRIVATE MARKETS | GLOBACAP PRIVATE MARKETS INC.

CRD#: 328777 / SEC#: , 8-71181

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

Main Address
12 E 49th St. 11th Floor, New York, NY 10017
Mailing Address
12 E 49th St. 11th Floor, New York, NY 10017
Phone number
(646) 568-5284
Established
Delaware since 06/13/2023
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GLOBACAP INC.OWNER
BEATON, DANIEL STEWARTFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER4240769
GRIFFITH, ANN MARGARETCHIEF COMPLIANCE OFFICER2936554
PEDVIS, ANDREWCEO7173906

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

GLOBACAP PRIVATE MARKETS INC.

CRD#: 328777

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