Simran Chahal

KKR CAPITAL MARKETS LLC

New York, NY 10001

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CRD#: 6790444

Professional summary

Simran Chahal is a registered financial professional currently at KKR CAPITAL MARKETS LLC located in New York, New York.

Simran is registered as a RR (Registered Representative) and started their career in finance in 2018. Simran has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Simran Chahal's CRS (Customer Relationship Summary).

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

August 28, 2025 - Present

KKR CAPITAL MARKETS LLC

Office #1: 30 Hudson Yards, New York, NY 10001

CRD#: 143571

New York, NY

Past

September 4, 2018 - July 17, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

August 27, 2018 - July 17, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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

Arizona
(9/9/2025)

Colorado
(9/2/2025)

Connecticut
(8/29/2025)

District of Columbia
(8/29/2025)

Florida
(8/28/2025)

Idaho
(8/29/2025)

Illinois
(8/28/2025)

Kentucky
(8/28/2025)

Louisiana
(8/28/2025)

Maine
(8/29/2025)

Maryland
(9/2/2025)

Michigan
(8/28/2025)

Minnesota
(8/28/2025)

Mississippi
(8/28/2025)

Montana
(8/28/2025)

Nebraska
(8/28/2025)

New Jersey
(8/28/2025)

Oklahoma
(8/28/2025)

Puerto Rico
(9/8/2025)

South Carolina
(8/28/2025)

South Dakota
(8/28/2025)

Texas
(8/28/2025)

Washington
(8/28/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/4/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/27/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KKR CAPITAL MARKETS LLC

KKR CAPITAL MARKETS LLC | KKR GLOBAL MARKETS LLC

CRD#: 143571 / SEC#: , 8-67578

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

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Contact information

Main Address

30 Hudson Yards, New York, NY 10001

Mailing Address

30 Hudson Yards, New York, NY 10001

Phone number

(212) 750-8300

Established

Delaware since 01/29/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KKR CAPITAL MARKETS HOLDINGS L.P.	SOLE MEMBER
KNOX, JOHN JOSEPH	PRINCIPAL FINANCIAL OFFICER	2605046
KNOX, JOHN JOSEPH	CHIEF FINANCIAL OFFICER, FINANCIAL/ OPERATIONS PRINCIPAL	2605046
KNOX, JOHN JOSEPH	PRINCIPAL OPERATING OFFICER	2605046
MOGELOF, ERIC JAY	HEAD OF CLIENT PARTNER GROUP	4558632
SCHWARTZ, JEFFREY I.	CHIEF COMPLIANCE OFFICER	4961301
SMITH, ADAM	CHIEF EXECUTIVE OFFICER	5748435
THOMPSON, WILLIAM CADE	CHIEF OPERATING OFFICER	4566364

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.

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Simran Chahal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Simran Chahal's CRS (Customer Relationship Summary).

Certified licenses

Experience

KKR CAPITAL MARKETS LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/27/2018

FINRA

Current Firm

KKR CAPITAL MARKETS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KKR CAPITAL MARKETS LLC

TRUST BUT VERIFY

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