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KS

Kane Smith

JAYPEE INTERNATIONAL
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6967957
KS

Professional summary

Kane Smith is a registered financial professional currently at JAYPEE INTERNATIONAL, INC. located in Chicago, Illinois.

Kane is registered as a RR (Registered Representative) and started their career in finance in 2018. Kane has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 79 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 Kane Smith'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

September 4, 2018 - Present

JAYPEE INTERNATIONAL, INC.

Office #1: 110 North Wacker Drive Suite 2500, Chicago, IL 60606
BD
CRD#: 135719
Chicago, IL

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
Illinois
(9/4/2018)
RR
Oklahoma
(9/19/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/2018
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: 8/22/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 7/12/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JI
JAYPEE INTERNATIONAL, INC.
JAYPEE INTERNATIONAL, INC.

CRD#: 135719 / SEC#: , 8-66945

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

Main Address
110 North Wacker Drive Suite 2500, Chicago, IL 60606
Mailing Address
110 North Wacker Drive Suite 2500, Chicago, IL 60606
Phone number
(312) 254-5044
Established
Delaware since 06/13/2003
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JAYPEE CAPITAL LIMITEDPARENT
ARORA, SORABHPRESIDENT, EXECUTIVE REPRESENTATIVE, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER & SROP/CROP4704544
CHOUDHARY, VARUNCOO,PFO,POO4971939

Disclosures

Regulatory Event3

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

JAYPEE INTERNATIONAL, INC.

CRD#: 135719Chicago, IL 60606

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