Ricardo M. Campoy
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.
Ricardo M Campoy, who also goes by Moreno Campoy, Ricardo Moreno Campoy, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 1994. Ricardo had worked at 9 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2018 - March 6, 2025
CAPSTONE PARTNERS
February 17, 2011 - November 4, 2018
HEADWATERS BD, LLC
April 18, 2000 - October 15, 2004
MCFARLAND DEWEY SECURITIES CO., LLC
July 1, 1998 - September 29, 1999
ABN AMRO SECURITIES LLC
November 5, 1997 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
December 23, 1996 - November 6, 1997
ING (U.S.) CAPITAL SECURITIES, INC.
November 6, 1995 - November 12, 1996
ING BARING (U.S.) SECURITIES, INC.
May 1, 1995 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
January 3, 1995 - April 3, 1995
SBC WARBURG, INC.
January 27, 1994 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING 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
Exams
Current Firm
CAPSTONE PARTNERS
CRD#: 132185 / SEC#: , 8-66572
Contact information
FINRA licenses (17 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 |
| DAHLKE, STEPHEN MATTHEW | CHIEF COMPLIANCE OFFICER | 2577928 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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