James Caponi
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.
James Caponi was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2005. James had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2012 - August 31, 2012
R.M. STARK & CO., INC.
December 10, 2007 - December 22, 2011
INVESTACORP, INC.
December 12, 2006 - December 12, 2007
J.P. TURNER & COMPANY, L.L.C.
August 10, 2006 - November 21, 2006
NEWBRIDGE SECURITIES CORPORATION
January 3, 2006 - August 8, 2006
SAMCO FINANCIAL SERVICES, INC.
July 28, 2005 - January 5, 2006
VFINANCE INVESTMENTS, INC
April 8, 2005 - August 22, 2005
GUNNALLEN FINANCIAL, 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
R.M. STARK & CO., INC.
CRD#: 7612 / SEC#: , 8-22543
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
