Lloyd Luvern Capps JR | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lloyd Luvern Capps JR, who also goes by Lloyd Luvern Jr Capps, Lloyd L Jr Kapz, was a registered financial professional .

Lloyd is a previously registered financial professional and started their career in finance in 1983. Lloyd had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Lloyd Luvern Jr Capps | Lloyd L Jr Kapz

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 24, 2009 - August 20, 2018

COOPER MCMANUS

RIA

CRD#: 111458

BURBANK, CA

Past

March 19, 2009 - April 7, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

UPLAND, CA

Past

March 19, 2009 - March 27, 2020

SECURITIES AMERICA, INC.

BD

CRD#: 10205

BURBANK, CA

Past

June 18, 2004 - March 19, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

UPLAND, CA

Past

June 18, 2004 - March 19, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD

CRD#: 16361

UPLAND, CA

Past

July 8, 1997 - July 6, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ONTARIO, CA

Past

July 31, 1993 - July 6, 2004

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

NEW YORK, NY

Past

December 16, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, NY

Past

March 22, 1983 - December 17, 1991

MORGAN STANLEY DW INC.

BD

CRD#: 7556

PURCHASE, NY

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".

CM

COOPER MCMANUS

CRD#: 111458 / SEC#: 801-61944

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

California

Registered Investment Advisory firm - (4/9/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 7/18/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 3/28/1983

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: 3/19/1983

General Securities Representative Examination

Current Firm

CM

COOPER MCMANUS

CRD#: 111458 / SEC#: 801-61944

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

California

Registered Investment Advisory firm - (4/9/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9870 Research Drive, Irvine, CA 92618

Mailing Address

Phone number

(800) 516-5333

Established

Firm type

Fiscal year end

# of Employees

52

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COOPER MCMANUS ADV PART 2A (5/20/2025)

COOPER MCMANUS ADV PART 2A APPENDIX 1 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	6,372
AUM (Assets Under Management)	$ 2,560,714,584

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.

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Advisor Monitoring

Firm Stability Insights

Lloyd L. Capps

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

COOPER MCMANUS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/1992

Series 63

Date: 3/28/1983

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Current Firm

COOPER MCMANUS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COOPER MCMANUS

TRUST BUT VERIFY

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