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GC

German E. Campuzano

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CRD#: 1600246
GC

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.

German Edward Campuzano JR, who also goes by J R Campuzano, German E Campuzano, Jr Campuzano, was a registered financial professional .

German is a previously registered financial professional and started their career in finance in 1986. German had worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

J R Campuzano | German E Campuzano | Jr Campuzano

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 1, 2018 - April 1, 2026

PENTALPHA CAPITAL, LLC

BD
CRD#: 40393
GREENWICH, CT
Past

April 10, 2017 - December 11, 2017

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

June 27, 1995 - August 17, 2010

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

December 23, 1986 - July 17, 1995

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/12/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/6/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination

Current Firm

PC
PENTALPHA CAPITAL, LLC
PENTALPHA CAPITAL, LLC

CRD#: 40393 / SEC#: , 8-49021

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2 Greenwich Office Park, Greenwich, CT 06831
Mailing Address
P.o. Box 4839, Greenwich, CT 06831
Phone number
(203) 660-6100
Established
New York since 12/07/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CALLAHAN, JILL GILBERTSHAREHOLDER1939990
CALLAHAN, JAMESEXECUTIVE DIRECTOR,CHIEF COMPLIANCE OFFICER1463232

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.

Company Information

PENTALPHA CAPITAL, LLC

CRD#: 40393

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