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JC

Joseph Capolino Jr

CRD# 1963136·Registered 1989 - 1997
Barred: Joseph Capolino JR was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Joseph Capolino JR was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1989 - 1997. Joseph had worked at 8 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

H G I·CRD# 14079
BD
Jericho, NY
March 24, 1997 - May 27, 1997
R.D. WHITE & CO., INC.·CRD# 7011
BD
New York, NY
November 12, 1996 - November 19, 1996
PARAGON CAPITAL MARKETS, INC.·CRD# 18555
BD
East Hanover, NJ
November 11, 1996 - December 13, 1996
A.J. MICHAELS & CO., LTD.·CRD# 19883
BD
Hauppauge, NY
March 27, 1992 - June 16, 1992
PAULSON INVESTMENT COMPANY LLC·CRD# 5670
BD
Portland, OR
December 20, 1990 - March 1, 1991
BARRETT DAY SECURITIES, INC.·CRD# 17717
BD
New York, NY
October 9, 1990 - October 31, 1990
BARRETT DAY SECURITIES, INC.·CRD# 17717
BD
New York, NY
June 5, 1990 - September 18, 1990
VANDERBILT SECURITIES, INC.·CRD# 14280
BD
February 5, 1990 - June 12, 1990
J. T. MORAN & CO., INC.·CRD# 15655
BD
June 20, 1989 - February 13, 1990

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Current Firm

HG
H G I

DISCOUNT INVESTMENT CORP. | THE HARRIMAN GROUP, INC. | THE BAXTER GROUP, INC. | HARMONY SECURITIES,LTD. | H G I

CRD#: 14079 / SEC#: 8-30233
BD
Cancelled by SEC on 10/04/2006

Contact Information

Established

Wisconsin since 06/15/1983

Firm Type

Corporation

Fiscal Year End

June

Documents

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1996About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JC
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