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RC

Robert J. Capolino

Some features on this profile are disabled
CRD#: 2336156
RC

Professional summary

Robert Joseph Capolino JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Robert had worked at 7 firms, which includes GKN SECURITIES CORP., AUGMENT SECURITIES INC., A.S. GOLDMEN & CO. INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, BRENNER SECURITIES CORPORATION, J.W. BARCLAY & CO. INC., GRUNTAL & CO. L.L.C..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert J Capolino | Robert Joseph Capolino

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

April 2, 1996 - July 19, 1996

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

September 5, 1995 - September 18, 1995

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

January 13, 1995 - November 13, 1995

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

September 27, 1994 - December 22, 1994

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

June 24, 1994 - September 26, 1994

BRENNER SECURITIES CORPORATION

BD
CRD#: 26973
Past

February 4, 1994 - June 27, 1994

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ
Past

November 12, 1993 - January 5, 1994

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

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: 3/30/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/1993
General Securities Representative Examination

Current Firm

GS
GKN SECURITIES CORP.
GKN SECURITIES CORP. | GKN SECURITIES, LTD.

CRD#: 19415 / SEC#: , 8-37442

BD
Terminated by SEC on 11/09/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/31/1985
Firm type
Corporation
Fiscal year end
January
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIREBRAND FINANCIAL GROUP, INC.HOLDING COMPANY
BRUNO, VINCENT MICHAELSR VP/ DIRECTOR OF COMPLIANCE1845833
CITRIN, ERIC CFINANCIAL AND OPERATIONS PRINCIPAL4285315
GLADSTONE, ROBERT HOWARDPRESIDENT/CEO722442

Disclosures

Regulatory Event17
Civil Event1
Arbitration15

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

GKN SECURITIES CORP.

CRD#: 19415

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