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German Edward Campuzano Jr

CRD# 1600246·Registered 1986 - 2026
Previously Registered: Being a previously registered professional could mean that German 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.

Professional Summary

German Edward Campuzano JR, who also goes by J R Campuzano, German E Campuzano, Jr Campuzano, was a registered financial advisor. German was a previously registered financial professional and started their career in finance 1986 - 2026. German had worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

J R Campuzano, German E Campuzano, Jr Campuzano

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

Past

PENTALPHA CAPITAL, LLCPast·CRD# 40393
BD
Greenwich, CT
August 1, 2018 - April 1, 2026
PIPER SANDLER & CO.Past·CRD# 665
BD
Minneapolis, MN
April 10, 2017 - December 11, 2017
NATWEST MARKETS SECURITIES INC.Past·CRD# 11707
BD
Stamford, CT
June 27, 1995 - August 17, 2010
SALOMON BROTHERS INC.Past·CRD# 740
BD
New York, NY
December 23, 1986 - July 17, 1995

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Current Firm

PC
PENTALPHA CAPITAL, LLC

PENTALPHA CAPITAL, LLC

CRD#: 40393 / SEC#: 8-49021
BD
Terminated by SEC on 04/26/2026

Contact Information

Established

New York since 12/07/1995

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ROSE, DANCIA AVERAEXECUTIVE DIRECTOR, CEO AND CHIEF COMPLIANCE OFFICER2787952

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2017About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Nov 1987About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Dec 1986About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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