Robert Capone
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.
Robert Capone was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2013 - June 13, 2014
LPS CAPITAL LLC
January 29, 2013 - June 3, 2013
OPEN TO THE PUBLIC INVESTING, INC.
November 17, 2009 - January 17, 2013
BGC FINANCIAL, L.P.
January 3, 2007 - December 10, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
September 30, 1999 - March 19, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
March 12, 1991 - October 5, 1999
W.A. CAPITAL MARKETS
November 23, 1990 - February 12, 1991
PURCELL GRAHAM INCORPORATED
May 3, 1989 - May 15, 1989
LEHWALD, OROSEY & PEPE INCORPORATED
February 21, 1989 - May 1, 1989
KEANE SECURITIES CO., INC.
November 29, 1984 - May 29, 1990
W.A. CAPITAL MARKETS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
