Philip William Seefried Jr
Professional Summary
Philip William Seefried JR, who also goes by Philip William Seefried, is a registered financial advisor currently at CAPSTONE PARTNERS located in New York, New York. Philip is registered as a RR (Registered Representative) and started their career in finance in 1987. Philip has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Philip William Seefried
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Contact Information
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Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS
Contact Information
Main Address
10 Post Office Square Suite 800n, Boston, MA 02109Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109Phone Number
(617) 619-3300Established
Delaware since 04/08/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE CORPORATE FINANCE LLC | DIRECT OWNER | — |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| HOHENSTEIN, THOMAS | CHIEF FINANCIAL OFFICER | 3123815 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| SZWAGULAK, JOHN | CHIEF COMPLIANCE OFFICER | 4033023 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(5/17/2018)
(8/4/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1994SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Philip William Seefried JR's CRS (Customer Relationship Summary).
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