MC
Marc J. Castagnera
KEPLER CAPITAL MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 7164363
MC
Professional summary
Marc James Castagnera, who also goes by Marc Castagnera, is a registered financial professional currently at KEPLER CAPITAL MARKETS, INC. located in New York, New York.
Marc is registered as a RR (Registered Representative) and started their career in finance in 2019. Marc has worked at 2 firms and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Marc Castagnera
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.
CRS (Client Relationship Summary) - BD
Click below to view Marc James Castagnera'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®
NoneExperience
Current
December 13, 2022 - Present
KEPLER CAPITAL MARKETS, INC.
Office #1: 12 East 49th Street 31st Floor, New York, NY 10017BD
CRD#: 139148
New York, NY
Past
November 16, 2019 - December 14, 2022
BERENBERG CAPITAL MARKETS LLC
BD
CRD#: 156757
NEW YORK, NY
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(12/13/2022)
RR
Alaska(12/13/2022)
RR
Arizona(12/13/2022)
RR
California(12/13/2022)
RR
Colorado(12/13/2022)
RR
Connecticut(12/13/2022)
RR
Delaware(12/13/2022)
RR
District of Columbia(12/13/2022)
RR
Florida(12/13/2022)
RR
Georgia(12/13/2022)
RR
Hawaii(12/13/2022)
RR
Illinois(12/13/2022)
RR
Iowa(12/13/2022)
RR
Kansas(12/13/2022)
RR
Maine(12/13/2022)
RR
Maryland(12/13/2022)
RR
Massachusetts(12/13/2022)
RR
Michigan(12/13/2022)
RR
Minnesota(12/13/2022)
RR
Missouri(12/13/2022)
RR
Nebraska(12/13/2022)
RR
Nevada(12/13/2022)
RR
New Hampshire(12/13/2022)
RR
New Jersey(12/13/2022)
RR
New Mexico(12/13/2022)
RR
New York(12/13/2022)
RR
North Carolina(12/13/2022)
RR
North Dakota(12/13/2022)
RR
Ohio(12/13/2022)
RR
Oklahoma(12/13/2022)
RR
Oregon(12/13/2022)
RR
Pennsylvania(12/13/2022)
RR
Rhode Island(12/13/2022)
RR
South Dakota(12/13/2022)
RR
Tennessee(12/13/2022)
RR
Texas(12/13/2022)
RR
Utah(12/13/2022)
RR
Vermont(12/13/2022)
RR
Virginia(12/13/2022)
RR
Washington(12/13/2022)
RR
Wisconsin(12/13/2022)
RR
Wyoming(11/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 12/12/2019
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 11/15/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KC
KEPLER CAPITAL MARKETS, INC.
KEPLER CAPITAL MARKETS, INC. | LANDSBANKI KEPLER, INC. | KEPLER EQUITIES, INC. | KEPLER CHEUVREUX NORTH AMERICA
CRD#: 139148 / SEC#: , 8-67194
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
12 East 49th Street 31st Floor, New York, NY 10017
Mailing Address
12 East 49th Street Suite 3107, New York, NY 10017
Phone number
(212) 710-7600
Established
Delaware since 09/23/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
