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Mark Eric Kepner

State Street Global Markets, LLC

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About Mark Eric Kepner

Mark Eric Kepner is a securities professional with over 28 years of experience in the financial industry. Currently registered with State Street Global Markets, LLC, Mark has held previous roles with firms such as Themis Trading LLC, Instinet, LLC and Bear, Stearns & Co. Inc. Mark holds FINRA Series 7, Series 55, Series 57TO, and SIE licenses, as well as a Series 63 license, demonstrating a commitment to continuous professional development. Mark has a broad base of experience in the financial markets and has extensive knowledge of equity trading.

Firm Information

Mark Kepner is currently registered with State Street Global Markets, LLC. State Street Global Markets, LLC is a Limited Liability Company formed in 2016 and approved in 53 states and the District of Columbia, including SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Mark Kepner’s Registration & Firm History

MA

01/06/2020 - Present

State Street Global Markets, LLC (BOSTON MA)

NJ

05/15/2014 - 12/13/2019

THEMIS TRADING LLC (CHATHAM NJ)

NY

06/01/2006 - 11/25/2013

INSTINET, LLC (NEW YORK NY)

NY

08/01/2000 - 06/01/2006

INSTINET, LLC (NEW YORK NY)

NY

05/24/1994 - 08/01/2000

INSTINET CORPORATION (NEW YORK NY)

NY

02/22/1994 - 04/28/1994

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/06/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/29/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/18/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq BX, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Mark Eric Kepner.
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