Steven J. Capo
Professional summary
Steven John Capo is a registered financial professional currently at TIGRESS FINANCIAL PARTNERS, LLC located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1984. Steven has worked at 5 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven John Capo's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2021 - Present
TIGRESS FINANCIAL PARTNERS, LLC
Office #1: 410 Park Avenue 12th Floor, New York, NY 10022February 2, 2018 - July 1, 2021
THE ULTIMA GLOBAL MARKETS (USA), INC.
April 3, 2017 - November 13, 2017
CV BROKERAGE, INC
October 1, 2000 - January 24, 2017
JEFFERIES EXECUTION SERVICES, INC.
October 25, 1984 - November 5, 1984
GINTEL & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/17/2021)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
TIGRESS FINANCIAL PARTNERS, LLC
CRD#: 154717 / SEC#: 801-112815, 8-68671
Contact information
FINRA licenses (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 11,558,041 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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