James S. Kephart

MAGNUS FINANCIAL GROUP LLC

New York, NY 10016

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CRD#: 722557

Professional summary

James Scott Kephart, who also goes by Scott Kephart, is a registered financial advisor currently at MAGNUS FINANCIAL GROUP LLC located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. James has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Kephart

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.

Name: James Scott Kephart/Modus Park Advisors Inv rel: Y Add: 280 Park Ave, 25 floor New York, NY 10167 Nature: Individual Life, Health, Group Life, and Group Health Insurance Position: Sales/Agent Start date: 5/8/2018 No. HR/MO: 10 No. HR/MO during sec trading: 10 Describe duties: individual and group life & health

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Scott Kephart'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

January 18, 2022 - Present

MAGNUS FINANCIAL GROUP LLC

Office #1: 90 Park Avenue Suite 1800, New York, NY 10016

RIA

CRD#: 289423

New York, NY

Past

June 14, 2021 - January 20, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

NEW YORK, NY

Past

June 26, 2018 - January 20, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

NEW YORK, NY

Past

June 16, 2016 - April 6, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEW YORK, NY

Past

December 1, 2010 - March 6, 2015

LOOP CAPITAL MARKETS LLC

CRD#: 43098

NEW YORK, NY

Past

April 1, 2009 - December 3, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

BASKING RIDGE, NJ

Past

March 31, 2009 - December 3, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

BASKING RIDGE, NJ

Past

April 18, 2007 - December 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

March 27, 2007 - December 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 13, 2004 - November 20, 2006

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

NEW YORK, NY

Past

January 26, 2004 - December 9, 2004

BNY CAPITAL MARKETS INC.

CRD#: 18303

NEW YORK, NY

Past

March 24, 2003 - January 22, 2004

AMHERST SECURITIES GROUP, L.P.

CRD#: 31141

AUSTIN, TX

Past

June 30, 1997 - September 26, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

March 13, 1990 - October 5, 1993

MORGAN STANLEY MARKET PRODUCTS INC.

CRD#: 19794

NEW YORK, NY

Past

March 13, 1990 - June 9, 1997

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

January 16, 1986 - June 28, 1989

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 7, 1984 - January 27, 1986

HARRIS NESBITT CORP.

CRD#: 7299

Past

March 4, 1983 - April 23, 1984

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

January 19, 1981 - March 11, 1983

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MAGNUS FINANCIAL GROUP LLC

CRD#: 289423 / SEC#: 801-111093

RIA

Registered Investment Advisory firm - (9/4/2017 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(1/18/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/17/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/19/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/16/2003

General Securities Principal Examination

Current Firm

MAGNUS FINANCIAL GROUP LLC

CRD#: 289423 / SEC#: 801-111093

RIA

Registered Investment Advisory firm - (9/4/2017 Approved)

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Contact information

Main Address

90 Park Avenue Suite 1800, New York, NY 10016

Mailing Address

Phone number

(800) 339-1367

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAGNUS FINANCIAL GROUP LLC BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,313
AUM (Assets Under Management)	$ 1,945,865,246

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James S. Kephart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Scott Kephart's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

LOOP CAPITAL MARKETS LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN KEEGAN & COMPANY, LLC

BNY CAPITAL MARKETS INC.

AMHERST SECURITIES GROUP, L.P.

DEUTSCHE BANK SECURITIES INC.

MORGAN STANLEY MARKET PRODUCTS INC.

MORGAN STANLEY & CO. LLC

CREDIT SUISSE SECURITIES (USA) LLC

HARRIS NESBITT CORP.

THOMSON MCKINNON SECURITIES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

MAGNUS FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/17/2007

Series 63

Date: 10/16/1991

SIE

Date: 10/1/2018

Series 3

Date: 5/19/1992

Series 7

Date: 1/17/1981

Series 24

Date: 9/16/2003

Current Firm

MAGNUS FINANCIAL GROUP LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAGNUS FINANCIAL GROUP LLC

TRUST BUT VERIFY

Contact information

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