Christopher J. Kapsch
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 John Kapsch, who also goes by Chris Kapsch, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 86 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
September 12, 2017 - May 20, 2024
LOOP CAPITAL MARKETS LLC
October 19, 2016 - September 5, 2017
AEGIS CAPITAL CORP.
March 26, 2015 - October 11, 2016
BB&T SECURITIES, LLC
July 13, 2012 - March 20, 2015
TOPEKA CAPITAL MARKETS INC.
August 3, 2010 - November 8, 2010
BDR RESEARCH LLC
May 27, 2010 - October 22, 2010
BDR RESEARCH GROUP LLC
June 8, 2007 - August 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2006 - August 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2006 - June 1, 2006
BDR RESEARCH GROUP LLC
July 13, 2005 - December 31, 2005
BLACK DIAMOND RESEARCH, LLC
May 7, 1998 - July 25, 2001
NEW VERNON SECURITIES, LLC
May 1, 1997 - November 11, 1998
ENDATUM SECURITIES, INC.
September 19, 1995 - April 14, 1997
PRUDENTIAL EQUITY GROUP, 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
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
