James J. Caprio
Professional summary
James J Caprio was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, James had worked at 16 firms, which includes BROOKSTREET SECURITIES CORPORATION, NATIONS FINANCIAL GROUP INC., ARCHER ALEXANDER SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, CHICAGO INVESTMENT GROUP LLC, THE CONCORD EQUITY GROUP LLC, PROVIDENTIAL SECURITIES INC., KOVACK SECURITIES INC., QUESTAR CAPITAL CORPORATION, SCHNEIDER SECURITIES INC., KOCHCAPITAL, PARKER JAMESON INC., H. T. FLETCHER SECURITIES INCORPORATED, BRENNAN ROSS SECURITIES INC., KETTLER & COMPANY, BRADSTREET CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2004 - July 19, 2007
BROOKSTREET SECURITIES CORPORATION
December 18, 2003 - January 5, 2004
NATIONS FINANCIAL GROUP, INC.
April 16, 2003 - December 18, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
January 29, 2003 - April 23, 2003
GUNNALLEN FINANCIAL, INC
May 3, 2001 - March 3, 2003
CHICAGO INVESTMENT GROUP, LLC
September 12, 2000 - March 7, 2001
THE CONCORD EQUITY GROUP, LLC
December 22, 1999 - September 1, 2000
PROVIDENTIAL SECURITIES, INC.
August 17, 1999 - January 4, 2000
KOVACK SECURITIES INC.
August 21, 1998 - August 29, 1999
QUESTAR CAPITAL CORPORATION
March 1, 1991 - July 11, 1991
SCHNEIDER SECURITIES, INC.
May 7, 1990 - March 4, 1991
KOCHCAPITAL
May 5, 1989 - May 17, 1990
PARKER JAMESON, INC.
October 3, 1988 - May 6, 1989
H. T. FLETCHER SECURITIES INCORPORATED
August 17, 1988 - October 8, 1988
BRENNAN ROSS SECURITIES, INC.
November 10, 1987 - August 25, 1988
KETTLER & COMPANY
October 20, 1987 - October 28, 1987
BRADSTREET CAPITAL, INC.
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
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
