Frederic E. Capozzi
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.
Frederic Edward Capozzi, who also goes by Fred E. Capozzi, was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1990. Frederic had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2008 - April 6, 2009
RAMIREZ TRADETREK SECURITIES LLC
May 3, 2005 - July 28, 2026
SAMUEL A. RAMIREZ & COMPANY, INC.
May 31, 2002 - April 15, 2005
BLAYLOCK & COMPANY, INC.
February 26, 2001 - May 10, 2002
COMMERZ MARKETS LLC
June 26, 2000 - February 26, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
June 19, 1998 - July 18, 2000
GLEACHER & COMPANY SECURITIES, INC.
August 21, 1990 - March 6, 1998
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/8/2001
Limited Representative-Equity Trader ExamCurrent Firm
RAMIREZ TRADETREK SECURITIES LLC
CRD#: 105797 / SEC#: , 8-52992
Contact information
Documents
Red Flags
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