Kepler Capital Markets, Inc. (“KCM”) is a securities broker-dealer registered with the Securities and Exchange Commission (the “SEC”), a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities Investor Protection Corporation (“SIPC”). KCM’s OSJ North American headquarters is located at Tower 49, 12 East 49th Street, Floor 36, New York NY 10017. The Company also conducts business with the trade name “Kepler Cheuvreux North America”.
KCM clears European equity transactions pursuant to SEC Rule 15a-6 via its Parent, Kepler Cheuvreux (“Parent”), and its third party clearing arrangement with Parel, a division of Sociéte Générale. Effective November 18, 2015, the KCM also maintains a separate fully disclosed clearing agreement with Convergex Execution Solutions LLC for the clearing and settlement of securities on North American and Certain Latin American Exchanges.
Click here to download fully disclosed trade confirmation disclosures for clearing with Convergex Execution Solutions LLC:
(KCM Fully Disclosed Trade Confirm)
Click here for 15a-6 trade confirmation disclosures: KCM 15a-6 Trade Confirm