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KS

Kadi B. Simile

CAIS CAPITAL LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 6911735
KS

Professional summary

Kadi Brooke Simile, who also goes by Kadi Pallastrone, Kadi Brooke Pallastrone, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.

Kadi is registered as a RR (Registered Representative) and started their career in finance in 2018. Kadi has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kadi Pallastrone | Kadi Brooke Pallastrone

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 Kadi Brooke Simile'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

May 27, 2021 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022
BD
CRD#: 154512
NEW YORK, NY
Past

March 19, 2018 - May 17, 2021

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL

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
(9/5/2024)
RR
Arkansas
(9/5/2024)
RR
Florida
(5/27/2021)
RR
Illinois
(9/5/2024)
RR
Indiana
(9/5/2024)
RR
Iowa
(9/5/2024)
RR
Kansas
(9/5/2024)
RR
Louisiana
(9/5/2024)
RR
Michigan
(9/5/2024)
RR
Minnesota
(9/5/2024)
RR
Mississippi
(9/5/2024)
RR
Missouri
(9/5/2024)
RR
Nebraska
(9/5/2024)
RR
New Mexico
(9/5/2024)
RR
New York
(5/27/2021)
RR
North Dakota
(9/5/2024)
RR
Ohio
(9/5/2024)
RR
Oklahoma
(9/5/2024)
RR
South Dakota
(9/5/2024)
RR
Texas
(5/27/2021)
RR
Wisconsin
(9/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/29/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CAIS CAPITAL LLC
CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

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

Main Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Mailing Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Phone number
(212) 300-9350
Established
Delaware since 07/27/2009
Firm type
Limited Liability Company
Fiscal year end
December
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPITAL INTEGRATION SYSTEMS LLCPARENT/OWNER
BROWN, MATTHEW CRAWFORDCEO/MEMBER/EXECUTIVE REP.2160159
COLLINS, MICHAEL PATRICKCCO5366193
KRZAK, ALEXANDER JACOBPOO6349160
PARISE, JANICE DRUFINOP/PFO2338583
PREMSELAAR, MARC KLEINSENIOR MANAGING DIRECTOR5395973
SHANNON, TIMOTHY BRIANPRESIDENT4461906
WALKER, BRADLEY JAYSENIOR MANAGING DIRECTOR5000838

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

CAIS CAPITAL LLC

CRD#: 154512New York, NY 10022

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