Donald D. Capelin
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.
Donald Davis Capelin, who also goes by Don Capelin, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2020 - May 1, 2026
THE HERBST GROUP, LLC
April 15, 2009 - October 8, 2009
CANTOR FITZGERALD & CO.
September 23, 2008 - December 11, 2008
TOPOS LLC
March 13, 2003 - October 10, 2007
CRT CAPITAL GROUP LLC
February 9, 1996 - March 14, 2003
J.P. MORGAN SECURITIES INC.
March 17, 1993 - February 9, 1996
CHASE SECURITIES, INC.
February 17, 1988 - February 23, 1993
SCHRODER & CO. INC.
October 25, 1984 - February 6, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
THE HERBST GROUP, LLC
CRD#: 309319 / SEC#: 801-118872
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE HERBST GROUP, LLC
CRD#: 309319 / SEC#: 801-118872
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 294 |
| AUM (Assets Under Management) | $ 204,750,725 |
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.
