CC
Carmine C. Capone
GMS GROUP
Boca Raton, FL 33431
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CRD#: 1124455
CC
Professional summary
Carmine Claudio Capone is a registered financial professional currently at GMS GROUP located in Boca Raton, Florida.
Carmine is registered as a RR (Registered Representative) and started their career in finance in 1983. Carmine has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 52, Series 10, Series 9, Series 53 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Carmine Claudio Capone's 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®
NoneExperience
Current
November 29, 1988 - Present
GMS GROUP
Office #1: 2600 N Military Trail Suite 400, Boca Raton, FL 33431RIA
BD
CRD#: 8000
Boca Raton, FL
Past
August 15, 1985 - January 28, 1988
GMS GROUP
BD
CRD#: 8000
Past
August 15, 1985 - December 31, 1988
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
March 20, 1985 - August 19, 1985
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
October 12, 1984 - May 10, 1985
DONALD SHELDON & CO., INC.
BD
CRD#: 6966
Past
July 16, 1984 - September 28, 1984
HALPERT AND COMPANY, INC.
BD
CRD#: 7094
Past
December 9, 1983 - June 25, 1984
EMPIRE NATIONAL SECURITIES, INCORPORATED
BD
CRD#: 7361
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".
GMS GROUP
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.
CRD#: 8000 / SEC#: 801-126662, 8-23936
RIA
Registered Investment Advisory firm - SEC (11/22/2022 Approved)Texas
Registered Investment Advisory firm - SEC (1/8/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/31/2007)
RR
Arizona(3/10/2005)
RR
California(5/8/2007)
RR
Colorado(9/23/2008)
RR
Connecticut(1/6/2003)
RR
Florida(12/5/1988)
RR
Georgia(6/20/2005)
RR
Illinois(5/14/2004)
RR
Iowa(4/27/2005)
RR
Kansas(1/30/2006)
RR
Kentucky(5/8/2007)
RR
Louisiana(1/8/2003)
RR
Maryland(6/29/2004)
RR
Massachusetts(10/3/2007)
RR
Michigan(1/15/1999)
RR
Minnesota(11/12/2008)
RR
Missouri(8/31/2004)
RR
Nevada(4/1/2004)
RR
New Jersey(1/6/2003)
RR
New York(3/14/2000)
RR
North Carolina(9/22/2004)
RR
Pennsylvania(8/30/2007)
RR
South Carolina(4/1/2008)
RR
Texas(1/17/2003)
RR
Virginia(9/24/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/14/1990
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GMS GROUP
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.
CRD#: 8000 / SEC#: 801-126662, 8-23936
RIA
Registered Investment Advisory firm - SEC (11/22/2022 Approved)Texas
Registered Investment Advisory firm - SEC (1/8/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936
Mailing Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936
Phone number
(973) 535-5000
Established
Delaware since 03/05/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
15
SEC notice filing (2 States and Territories)
FINRA licenses (52 States and Territories)
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 | SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | 725373 |
| DONOHUE, TIMOTHY JOSEPH | PRESIDENT | 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 | SENIOR VICE PRESIDENT/DIRECTOR | 2403660 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 13,887,060 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GMS GROUP
CRD#: 8000Boca Raton, FL 33431TRUST BUT VERIFY
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