Victor Capote
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 12, 1990 - January 23, 1996
PRUCO SECURITIES, LLC.
January 2, 1990 - January 12, 1990
J. GREGORY & COMPANY, INC.
January 2, 1990 - September 17, 1990
JOSEPHTHAL & CO., INC.
September 21, 1989 - November 20, 1989
ALLIED CAPITAL GROUP, INC.
March 17, 1989 - July 17, 1989
BLUESTONE CAPITAL CORP.
August 4, 1988 - March 14, 1989
MONMOUTH INVESTMENTS, INC.
May 24, 1988 - July 23, 1988
FIRST INTERREGIONAL EQUITY CORP.
October 9, 1987 - April 27, 1988
J. T. MORAN & CO., INC.
July 8, 1987 - October 19, 1987
GRUNTAL & CO., L.L.C.
May 13, 1987 - August 26, 1987
PHILIPS, APPEL & WALDEN, INC.
April 23, 1985 - May 22, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
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 PRUDENTIAL INSURANCE COMPANY OF AMERICA
CRD#: 680 / SEC#: 801-12484, 8-13881
Contact information
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.
