Adam L. Capon
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.
Adam L. Capon, who also goes by Adam L Capon, Adam Capon, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1997. Adam had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 21, Series 25 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
August 2, 2011 - April 3, 2012
COWEN PRIME SERVICES LLC
September 10, 2009 - August 16, 2011
ALARIS TRADING PARTNERS, LLC
October 22, 2008 - August 21, 2009
G-2 TRADING,LLC
October 1, 2000 - March 19, 2008
REDI GLOBAL TECHNOLOGIES LLC
July 10, 1997 - March 19, 2008
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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: 2/7/2008
Limited Representative-Equity Trader ExamSeries 21
Date: 2/10/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 6/16/1999
NYSE Trading Assistant ExaminationCurrent Firm
COWEN PRIME SERVICES LLC
CRD#: 153397 / SEC#: , 8-68531
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
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.
