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Phillip A. Capone

ABN AMRO SECURITIES (USA) LLC
New Brunswick, NJ 08901
Some features on this profile are disabled
CRD#: 2068011
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Professional summary

Phillip Anthony Capone is a registered financial professional currently at ABN AMRO SECURITIES (USA) LLC located in New Brunswick, New Jersey.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2019. Phillip has worked at 1 firm and has passed the Series 7TO and SIE 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) - BD

Click below to view Phillip Anthony Capone's CRS (Customer Relationship Summary).

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

Current

April 30, 2019 - Present

ABN AMRO SECURITIES (USA) LLC

Office #1: 303 George Street 3rd Floor, New Brunswick, NJ 08901
BD
CRD#: 151796
New Brunswick, NJ

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

General Industry/Product Exam
RR
Series 7TO
Date: 4/30/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/20/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AA
ABN AMRO SECURITIES (USA) LLC
ABN AMRO SECURITIES (USA) LLC | MEESPIERSON SECURITIES LLC

CRD#: 151796 / SEC#: , 8-68398

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

Main Address
303 George Street 3rd Floor, New Brunswick, NJ 08901
Mailing Address
303 George Street 3rd Floor, New Brunswick, NJ 08901
Phone number
(917) 284-6700
Established
Delaware since 01/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
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

Direct owners and executive officers

NamePositionCRD#
ABN AMRO CLEARING HOLDINGS USA LLCSHAREHOLDER
ALONGI, ROBERT PHILIP JRHEAD OPS2445170
DUINSTRA, BOUDEWIJNBOARD MEMBER
DWYER, PATRICK JOSEPHPRESIDENT & CEO4653391
LUO, ROGER ZHENYUANCHIEF FINANCIAL OFFICER5840881
TYRICHTROVA, MONIKA ALEXANDRACHIEF COMPLIANCE OFFICER4487708

Disclosures

Regulatory Event1

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

ABN AMRO SECURITIES (USA) LLC

CRD#: 151796New Brunswick, NJ 08901

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