Emilee L. Capps
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.
Emilee L Capps, who also goes by Emilee Larkins Capps, Emilee Capps, Emilee Sandra Larkins, was a registered financial professional .
Emilee is a previously registered financial professional and started their career in finance in 1995. Emilee had worked at 7 firms and has passed the SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2016 - February 15, 2018
FSIC
August 5, 2013 - September 16, 2015
NATIONAL SECURITIES CORPORATION
August 25, 2006 - March 16, 2012
PACIFIC WEST SECURITIES, INC.
June 25, 2003 - August 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 31, 2002 - May 12, 2003
PRINCIPAL FUNDS DISTRIBUTOR, INC.
July 12, 1999 - July 17, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
September 14, 1995 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FSIC
CRD#: 37813 / SEC#: 801-64354, 8-48032
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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