Michael E. Capitani
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.
Michael E Capitani was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1994. Michael had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2012 - October 21, 2025
THORNBURG SECURITIES LLC
January 2, 2009 - March 2, 2009
KAUFMAN BROS., L.P.
October 8, 2003 - June 25, 2008
CARIS & COMPANY, INC.
October 18, 1999 - July 9, 2002
ROBERTSON STEPHENS, INC.
September 1, 1998 - July 9, 2002
ROBERTSON STEPHENS, INC.
August 11, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
October 11, 1994 - February 24, 1997
PRUDENTIAL EQUITY GROUP, LLC
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
Series 55
Date: 12/22/1998
Limited Representative-Equity Trader ExamCurrent Firm
THORNBURG SECURITIES LLC
CRD#: 14857 / SEC#: , 8-31249
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THORNBURG INVESTMENT MANAGEMENT INC | SOLE MEMBER | 106357 |
| BHATT, NIMISH SANJAY | TREASURER, PRINCIPAL FINANCIAL OFFICER | 2789977 |
| BROWNELL, JESSE RYAN | GLOBAL HEAD OF DISTRIBUTION | 5511918 |
| CALLOW, AMY | SECRETARY | |
| HOLLOWAY, CURTIS EDWARD | PRINCIPAL OPERATIONS OFFICER | 5130594 |
| OLEXSAK, RONALD | CHIEF COMPLIANCE OFFICER | 2858575 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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