Suzanne M. Capellini
Professional summary
Suzanne Marie Capellini was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Suzanne is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Suzanne had worked at 1 firm, which includes FIRST MANHATTAN SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2009 - June 5, 2020
FIRST MANHATTAN SECURITIES LLC
April 23, 1985 - April 2, 2009
FIRST MANHATTAN SECURITIES 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
Exams
Series 7TO
Date: 2/27/2024
General Securities Representative ExaminationSeries 79TO
Date: 2/27/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 2/27/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 2/27/2024
Operations Professional ExaminationSeries 8
Date: 2/13/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST MANHATTAN SECURITIES LLC
CRD#: 1845 / SEC#: 801-12411, 8-10438
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FMC GROUP HOLDINGS LP | LIMITED PARTNERSHIP | |
| WYDRA, ZACHARY A | CHIEF EXECUTIVE OFFICER | 2937857 |
| ASPEN, ANDREW JOSEPH | CHIEF LEGAL OFFICER | 5282749 |
| COVINO, JEREMY PAUL | CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF FINRA RULE 3130) | 6794503 |
| PINTO, ALVARO SPINOLA | FINOP/PRINCIPAL OPERATIONS OFFICER | 6367887 |
| SAMMARCO, JOSEPH ANTHONY | CO-DIRECTOR OF OPERATIONS; HEAD OF SUPERVISION | 2982052 |
Regulatory assets under management
| Total Number of Accounts | 5,308 |
| AUM (Assets Under Management) | $ 29,853,233,052 |
Disclosures
| Regulatory Event | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2022 |
Red Flags
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