Vincent J. Cappetta

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CRD#: 2471511

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"?

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.

CRD#: 38304

LEVITTOWN, NY

Past

November 15, 2000 - September 18, 2002

MILESTONE GROUP MANAGEMENT LLC

CRD#: 44486

LAKE SUCCESS, NY

Past

July 15, 1999 - November 16, 2000

NORTHRIDGE CAPITAL CORPORATION

CRD#: 16467

MELVILLE, NY

Past

May 14, 1999 - May 18, 1999

BRIARWOOD INVESTMENT COUNSEL

CRD#: 6368

NEW YORK, NY

Past

October 21, 1998 - March 19, 1999

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

CRD#: 43177

ATLANTA, GA

Past

July 28, 1998 - August 28, 1998

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

April 3, 1998 - August 18, 1998

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

July 3, 1997 - April 6, 1998

FOSTER JEFFRIES SECURITIES, LLC

CRD#: 30144

WESTBURY, NY

Past

April 9, 1997 - June 19, 1997

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436

NEW YORK, NY

Past

August 21, 1996 - March 13, 1997

GLOBAL EQUITIES GROUP INC

CRD#: 34039

NEW YORK, NY

Past

February 1, 1996 - August 26, 1996

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

January 9, 1995 - February 1, 1996

ROYCE INVESTMENT GROUP, INC.

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

Series 63

Date: 1/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/6/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/1996

General Securities Principal Examination

Current Firm

CLARK STREET CAPITAL, INC.

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

Terminated by SEC on 12/14/2004

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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

Name	Position	CRD#
FAM HOLDINGS, LLC.	SHAREHOLDER
EXECUTEDIRECT.COM	SHAREHOLDER
ALFONSI, MARCO	PRESIDENT, VICE-PRESIDENT
COLEMAN, JAMES STUART	OPTIONS PRINCIPAL/CROP	1211212
FUSCO, MARYANN	FINANCIAL OPERATIONS PRINCIPAL	867065
HOLTMEYER, ANDREW WALTER	SECRETARY

Disclosures

Regulatory Event

Red Flags

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Vincent J. Cappetta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

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.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/1995

Series 7

Date: 1/6/1995

Series 24

Date: 12/23/1996

Current Firm

CLARK STREET CAPITAL, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CLARK STREET CAPITAL, INC.

TRUST BUT VERIFY

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