Kenneth A. Wasik
Professional summary
Kenneth Allen Wasik is a registered financial professional currently at CAPSTONE PARTNERS located in Summit, New Jersey.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1994. Kenneth has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Allen Wasik's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2020 - Present
CAPSTONE PARTNERS
Office #1: 382 Springfield Ave Suite 217, Summit, NJ 07901Office #2: 104 West 40th Street 3rd Floor, New York, NY 10018Office #3: 10 Post Office Square Suite 800n, Boston, MA 02109March 3, 2009 - April 30, 2020
STEPHENS
May 23, 2007 - October 2, 2008
JEFFERIES LLC
June 30, 2003 - May 21, 2007
HOULIHAN LOKEY CAPITAL, INC.
November 3, 2000 - March 3, 2003
UBS SECURITIES LLC
March 22, 1999 - November 3, 2000
UBS FINANCIAL SERVICES INC.
March 18, 1997 - June 10, 1998
UBS SECURITIES LLC
June 17, 1996 - March 19, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 1994 - April 19, 1996
UBS FINANCIAL SERVICES 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
(6/4/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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 |
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