AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
VC

Victor Capote

Some features on this profile are disabled
CRD#: 1234904
VC

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.

Victor Capote JR, who also goes by VIctor Capote, was a registered financial professional .

Victor is a previously registered financial professional and started their career in finance in 1985. Victor had worked at 12 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Victor Capote

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

December 12, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

December 12, 1990 - January 23, 1996

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

January 2, 1990 - January 12, 1990

J. GREGORY & COMPANY, INC.

BD
CRD#: 14892
Past

January 2, 1990 - September 17, 1990

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

September 21, 1989 - November 20, 1989

ALLIED CAPITAL GROUP, INC.

BD
CRD#: 13146
Past

March 17, 1989 - July 17, 1989

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

August 4, 1988 - March 14, 1989

MONMOUTH INVESTMENTS, INC.

BD
CRD#: 14047
Past

May 24, 1988 - July 23, 1988

FIRST INTERREGIONAL EQUITY CORP.

BD
CRD#: 7486
MILBURN, NJ
Past

October 9, 1987 - April 27, 1988

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

July 8, 1987 - October 19, 1987

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

May 13, 1987 - August 26, 1987

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659
Past

April 23, 1985 - May 22, 1987

BROOKS WEINGER ROBBINS & LEEDS INC.

BD
CRD#: 14156

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.

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination

Current Firm

TP
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
PRIVATE ASSET MANAGEMENT GROUP ("PAMG") | THE PRUDENTIAL INVESTMENT CORPORATION ("PIC") | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | STRUCTURED FINANCE GROUP ("SFG") | QUANTITATIVE MANAGEMENT ("QM") | PRUDENTIAL RETIREMENT | PRUDENTIAL REAL ESTATE SECURITIES INVESTORS ("PRESI") | PRUDENTIAL REAL ESTATE INVESTORS ("PREI") | PRUDENTIAL INVESTMENTS ASSET MANAGEMENT GROUP ("PIAMG") | PRUDENTIAL INVESTMENTS ("PI") | PRUDENTIAL INVESTMENT MANAGEMENT, INC.("PIM") | PRUDENTIAL GLOBAL ASSET MANAGEMENT ("PGAM") | PRUDENTIAL FIXED INCOME GROUP ("PRUDENTIAL FIXED INCOME") | PRUDENTIAL FINANCIAL, INC. ("PFI") | PRUDENTIAL CAPITAL GROUP ("PCG")

CRD#: 680 / SEC#: 801-12484, 8-13881

BD
Terminated by SEC on 07/05/1996
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 04/03/1873
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (3/30/2016)

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.

Company Information

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

TRUST BUT VERIFY

Monitor Victor Capote

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.