Scott J. Smith
Professional summary
Scott John Rodgers Smith is a registered financial professional currently at CAPSTONE PARTNERS located in Boston, Massachusetts.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 11 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott John Rodgers Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2026 - Present
CAPSTONE PARTNERS
Office #1: 10 Post Office Square Suite 800n, Boston, MA 02109May 3, 2023 - March 13, 2026
ROBERT W. BAIRD & CO. INCORPORATED
November 21, 2019 - May 19, 2023
GOLDMAN SACHS & CO. LLC
September 19, 2016 - November 12, 2019
PIPER SANDLER & CO.
June 26, 2008 - July 23, 2008
GOLDSMITH, AGIO, HELMS SECURITIES, INC.
June 26, 2008 - June 8, 2016
LAZARD MIDDLE MARKET LLC
July 1, 2003 - April 21, 2008
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 1, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
April 30, 1998 - February 1, 1999
BOWLES HOLLOWELL CONNER & CO.
March 13, 1996 - April 30, 1998
BOWLES HOLLOWELL CONNER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/24/2026)
Exams
Series 82TO
Date: 5/3/2023
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CAPSTONE PARTNERS
CRD#: 132185 / SEC#: , 8-66572
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE CORPORATE FINANCE LLC | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| CASPER, MARK VERNON JR. | CHIEF FINANCIAL OFFICER | 6682711 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| SZWAGULAK, JOHN | CHIEF COMPLIANCE OFFICER | 4033023 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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