Edward C. Cappabianca
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.
Edward Charles Cappabianca was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1994. Edward had worked at 6 firms and has passed the Series 79TO, Series 7TO, SIE, Series 62, Series 7 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
May 2, 2019 - December 12, 2019
CORINTHIAN PARTNERS, L.L.C.
March 23, 2010 - August 19, 2010
RODMAN & RENSHAW, LLC
September 25, 1998 - June 4, 2001
WILLIAM BLAIR
September 1, 1997 - August 10, 1998
DB ALEX. BROWN LLC
April 24, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
February 28, 1994 - March 6, 1996
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 10/10/2019
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 5/2/2019
General Securities Representative ExaminationSeries 62
Date: 9/11/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
CORINTHIAN PARTNERS, L.L.C.
CRD#: 38912 / SEC#: , 8-48461
Contact information
FINRA licenses (33 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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