Christopher Cappillo
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.
Christopher Cappillo, who also goes by Christopher Philip Cappillo, Christopher Cappillo, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2020 - April 24, 2026
FORESIDE FINANCIAL SERVICES, LLC
September 5, 2017 - March 28, 2019
PAULSON INVESTMENT COMPANY LLC
August 2, 2016 - March 22, 2017
BARDOWN CAPITAL LLC
August 2, 2016 - August 18, 2017
BAYES CAPITAL LLC
October 25, 2010 - July 12, 2016
BTIG, LLC
April 29, 2010 - October 27, 2010
RUSHMORE CAPITAL, INC.
August 11, 2006 - October 27, 2010
DOMESTIC SECURITIES, INC.
January 31, 2005 - August 4, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
January 7, 2004 - December 7, 2004
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 9, 2002 - December 2, 2003
GOLDMAN SACHS & CO. LLC
May 24, 1988 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 23, 1986 - May 24, 1988
TROSTER SINGER CORPORATION
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
Series 55
Date: 5/7/1998
Limited Representative-Equity Trader ExamCurrent Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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