AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DB

David C. Brown

CAPSTONE PARTNERS
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 2250948
DB

Professional summary

David Caulkins Brown, who also goes by David Caulkins Brown, is a registered financial professional currently at CAPSTONE PARTNERS located in Atlanta, Georgia.

David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Caulkins Brown

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 David Caulkins Brown'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

January 12, 2026 - Present

CAPSTONE PARTNERS

Office #1: 3560 Lenox Rd, Nw 11th Floor, Atlanta, GA 30326
BD
CRD#: 132185
Atlanta, GA
Past

January 25, 2023 - January 14, 2026

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Atlanta, GA
Past

July 9, 2007 - November 15, 2007

VCAP SECURITIES, LLC

BD
CRD#: 124515
NEW YORK, NY
Past

September 8, 1999 - March 15, 2005

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

May 21, 1998 - August 30, 1999

PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC

BD
CRD#: 41461
NEW YORK, NY
Past

August 8, 1996 - May 21, 1998

SHATTUCK HAMMOND PARTNERS INC.

BD
CRD#: 32241
NEW YORK, NY
Past

October 29, 1992 - July 19, 1996

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(1/12/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/18/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/11/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/25/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/5/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/9/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CAPSTONE PARTNERS
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
10 Post Office Square Suite 800n, Boston, MA 02109
Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109
Phone number
(617) 619-3300
Established
Delaware since 04/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPSTONE CORPORATE FINANCE LLCDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
CASPER, MARK VERNON JR.CHIEF FINANCIAL OFFICER6682711
FERRARA, JOHN MARIO IIPRESIDENT2097226
JANSON, PAUL EDWARDDIRECTOR4992234
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISEXECUTIVE MANAGING DIRECTOR6419334
SZWAGULAK, JOHNCHIEF COMPLIANCE OFFICER4033023
VALDIVIA, SERENAAML OFFICER7790899

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

CAPSTONE PARTNERS

CRD#: 132185Atlanta, GA 30326

TRUST BUT VERIFY

Monitor David Brown

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Robert L Busby
Robert BusbyAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Atlanta, GA
AP
Alexander PaslayAdvisorCheck Check Mark
KESTRA ADVISORY SERVICES, LLC
IAR
RR
Woodstock, GA
TP
Tyrane PerryAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
Atlanta, GA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.