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Sidney J. Schuster

Some features on this profile are disabled
CRD#: 2039134
SS

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.

Sidney Joseph Schuster was a registered financial professional .

Sidney is a previously registered financial professional and started their career in finance in 1990. Sidney had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 4, 2015 - February 24, 2016

CAPE SECURITIES INC.

BD
CRD#: 7072
LAKE GROVE, NY
Past

July 21, 2015 - November 10, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
JERICHO, NY
Past

July 12, 2010 - October 11, 2012

PHD CAPITAL

BD
CRD#: 38785
NEW YORK, NY
Past

January 10, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 10, 2005 - July 15, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
BOHEMIA, NY
Past

November 12, 2004 - January 4, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 12, 2004 - January 4, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

April 7, 2004 - September 7, 2004

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

July 12, 2002 - April 6, 2004

BASIC INVESTORS INC.

BD
CRD#: 1187
MELVILLE, NY
Past

January 2, 2002 - July 12, 2002

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

November 19, 1999 - January 2, 2002

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

February 24, 1998 - November 16, 1999

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

January 20, 1998 - February 11, 1998

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

April 30, 1991 - February 3, 1998

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

May 24, 1990 - May 6, 1991

SOUTH RICHMOND SECURITIES, INC.

BD
CRD#: 14913

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/24/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/29/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CS
CAPE SECURITIES INC.
CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Phone number
(678) 583-1120
Established
North Carolina since 02/23/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEBB, JAMES RANDALLCHAIRMAN2089446
BACHMANN, KEVIN SCOTTPRESIDENT1406637
CIANTRO, PHILIPCCO2350685
CIANTRO, PHILIPFINOP2350685
JOKELA, JOHN KEVINCOO5474831

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

CAPE SECURITIES INC.

CRD#: 7072

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