Brian M. Capuano
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.
Brian Michael Capuano was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2007. Brian had worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14 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
September 15, 2020 - April 26, 2021
MANORHAVEN CAPITAL LLC
September 15, 2010 - October 2, 2013
ROSENBLATT SECURITIES INC.
June 26, 2007 - December 19, 2008
ORDER EXECUTION SERVICES, LLC
June 26, 2007 - February 25, 2011
OES BROKERAGE SERVICES, LLC
June 26, 2007 - June 26, 2020
TZERO SECURITIES, LLC
June 26, 2007 - June 26, 2020
SPEEDROUTE 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 10/23/2020
Investment Banking Registered Representative ExaminationCurrent Firm
MANORHAVEN CAPITAL LLC
CRD#: 44965 / SEC#: , 8-50911
Contact information
FINRA licenses (9 States and Territories)
Documents
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.
