Andrew W. Capitman
Professional summary
Andrew William Capitman, who also goes by Andrew W Capitman, is a registered financial professional currently at KROLL SECURITIES LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1993. Andrew has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew William Capitman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 11, 2007 - Present
KROLL SECURITIES LLC
Office #1: One World Trade 285 Fulton Street 31st Floor, New York, NY, 10007June 6, 2012 - December 12, 2013
GCP SECURITIES, LLC
July 13, 2011 - June 6, 2012
GCP SECURITIES, INC.
December 17, 2004 - September 14, 2007
BNY CAPITAL MARKETS INC.
April 28, 2004 - October 30, 2004
SKYWORKS SECURITIES, LLC
August 25, 1998 - March 4, 2004
AURIA SERVICES CORP.
November 29, 1994 - September 15, 1998
FIELDSTONE PRIVATE CAPITAL GROUP, L.P.
March 26, 1993 - November 12, 1994
DOUGHERTY & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/11/2007)
(12/14/2011)
(1/10/2012)
(8/23/2023)
(6/25/2010)
(8/17/2009)
(10/11/2007)
(10/17/2012)
(6/22/2022)
(10/5/2010)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
KROLL SECURITIES LLC
CRD#: 36927 / SEC#: , 8-47558
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KROLL, LLC | OWNER | |
| ATTANASIO, ELIZABETH MARIE | PRINCIPAL FINANCIAL OFFICER | 5325007 |
| ATTANASIO, ELIZABETH MARIE | FINOP | 5325007 |
| ATTANASIO, ELIZABETH MARIE | PRINCIPAL OPERATIONS OFFICER | 5325007 |
| BARTELL, ROBERT ANTHONY | VICE CHAIRMAN | 4998599 |
| BENN, JOSHUA KOGAN | MANAGING DIRECTOR | 3166674 |
| BLOWERS, DAVID CHARLES JR. | CEO | 5960307 |
| BURT, STEPHEN M | PRESIDENT | 2679117 |
| CAPITMAN, ANDREW WILLIAM | MANAGING DIRECTOR | 2321386 |
| JANCOVIC, GIZELLE MARIE | CHIEF COMPLIANCE OFFICER | 5654006 |
| LU, DAVID HAI GE | MANAGING DIRECTOR | 3069820 |
| MOON, STEVEN JAE-HO | MANAGING DIRECTOR | 4860246 |
Disclosures
| Regulatory Event | 1 |
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.
