Carmine Claudio Capone
Professional Summary
Carmine Claudio Capone is a registered financial advisor currently at GMS GROUP located in Boca Raton, Florida. Carmine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Carmine has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 52, Series 10, Series 9, Series 53 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
GMS GROUP | THE GMS GROUP, LLC | THE GMS GROUP, L.L.C. | THE G.M.S. GROUP, L.L.C. | THE G.M.S. GROUP, INC. | MOORE & SCHLEY MUNICIPALS, INC.
Contact Information
Main Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936Mailing Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936Phone Number
(973) 535-5000Established
Delaware since 03/05/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
15SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMS GROUP HOLDINGS CORP | MEMBER | — |
| CAPONE, CARMINE CLAUDIO | EXECUTIVE VICE PRESIDENT/DIRECTOR | 1124455 |
| DEMBOWSKI, DANIELLE DENISE | CHIEF FINANCIAL OFFICER | 5855269 |
| DONOHUE, TIMOTHY JOSEPH | PRESIDENT | 725373 |
| DONOHUE, TIMOTHY JOSEPH | SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | 725373 |
| ESTANISLAO, LEONARDO | CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR | 4622553 |
| FELDMAN, JUSTYN SETH | SENIOR VICE PRESIDENT - DIRECTOR | 2283535 |
| FELDMAN, MELVIN | DIRECTOR, SR VICE PRESIDENT | 205924 |
| KONSIG, PAUL ROBERT | CEO | 500443 |
| KONSIG, PAUL ROBERT | DIRECTOR | 500443 |
| KOROSTOFF, DAVID BRUCE | DIRECTOR, SR. VICE PRESIDENT | 1205712 |
| LENZI, JEFFREY PAUL | SENIOR VICE PRESIDENT/DIRECTOR | 2452390 |
| LIPMAN, MATTHEW ERIC | SECRETARY | 2367335 |
| MANTE, PAUL DAVID | SENIOR VICE PRESIDENT - DIRECTOR | 4911949 |
| MCKENNA, MICHAEL JAMES | EXECUTIVE VICE PRESIDENT | 1524460 |
| PRICE, BARBARA BENEDICT | DIRECTOR, SR. VICE PRESIDENT | 17944 |
| VESSELS, STEPHEN GLENN | EXECUTIVE VP | 2403660 |
Regulatory Assets Under Management
Total Number of Accounts
1AUM (Assets Under Management)
$19,831,795Disclosures
Regulatory Event
8Arbitration
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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.
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Primary Firm SEC Registration
GMS GROUP | THE GMS GROUP, LLC | THE GMS GROUP, L.L.C. | THE G.M.S. GROUP, L.L.C. | THE G.M.S. GROUP, INC. | MOORE & SCHLEY MUNICIPALS, INC.
State Registrations and Notice Filings
(1/31/2007)
(3/10/2005)
(5/8/2007)
(9/23/2008)
(1/6/2003)
(12/5/1988)
(2/12/2026)
(6/20/2005)
(5/14/2004)
(4/27/2005)
(1/30/2006)
(5/8/2007)
(1/8/2003)
(6/29/2004)
(10/3/2007)
(1/15/1999)
(11/12/2008)
(8/31/2004)
(4/1/2004)
(1/6/2003)
(3/14/2000)
(9/22/2004)
(8/30/2007)
(4/1/2008)
(1/17/2003)
(9/24/2008)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1990SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Carmine Claudio Capone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carmine Claudio Capone's CRS (Customer Relationship Summary).
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