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Vincent J. Cappetta

Some features on this profile are disabled
CRD#: 2471511
VC

Professional summary

Vincent James Cappetta was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Vincent is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Vincent had worked at 12 firms, which includes CLARK STREET CAPITAL INC., MILESTONE GROUP MANAGEMENT LLC, NORTHRIDGE CAPITAL CORPORATION, BRIARWOOD INVESTMENT COUNSEL, J.P. TURNER & COMPANY L.L.C., FIRST ASSET MANAGEMENT INC., H.J. MEYERS & CO. INC., FOSTER JEFFRIES SECURITIES LLC, MEYERS POLLOCK ROBBINS INC., GLOBAL EQUITIES GROUP INC, CONTINENTAL BROKER-DEALER CORP., ROYCE INVESTMENT GROUP INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

October 1, 2002 - January 8, 2003

CLARK STREET CAPITAL, INC.

BD
CRD#: 38304
LEVITTOWN, NY
Past

November 15, 2000 - September 18, 2002

MILESTONE GROUP MANAGEMENT LLC

BD
CRD#: 44486
LAKE SUCCESS, NY
Past

July 15, 1999 - November 16, 2000

NORTHRIDGE CAPITAL CORPORATION

BD
CRD#: 16467
MELVILLE, NY
Past

May 14, 1999 - May 18, 1999

BRIARWOOD INVESTMENT COUNSEL

BD
CRD#: 6368
NEW YORK, NY
Past

October 21, 1998 - March 19, 1999

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

July 28, 1998 - August 28, 1998

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY
Past

April 3, 1998 - August 18, 1998

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

July 3, 1997 - April 6, 1998

FOSTER JEFFRIES SECURITIES, LLC

BD
CRD#: 30144
WESTBURY, NY
Past

April 9, 1997 - June 19, 1997

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

August 21, 1996 - March 13, 1997

GLOBAL EQUITIES GROUP INC

BD
CRD#: 34039
NEW YORK, NY
Past

February 1, 1996 - August 26, 1996

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

January 9, 1995 - February 1, 1996

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, 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: 1/18/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/23/1996
General Securities Principal Examination

Current Firm

CS
CLARK STREET CAPITAL, INC.
CLARK STREET CAPITAL, INC.

CRD#: 38304 / SEC#: , 8-48222

BD
Terminated by SEC on 12/14/2004
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 02/16/1995
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FAM HOLDINGS, LLC.SHAREHOLDER
EXECUTEDIRECT.COMSHAREHOLDER
ALFONSI, MARCOPRESIDENT, VICE-PRESIDENT
COLEMAN, JAMES STUARTOPTIONS PRINCIPAL/CROP1211212
FUSCO, MARYANNFINANCIAL OPERATIONS PRINCIPAL867065
HOLTMEYER, ANDREW WALTERSECRETARY

Disclosures

Regulatory Event4

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

CLARK STREET CAPITAL, INC.

CRD#: 38304

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