Michael R. Schumacher
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 R Schumacher, who also goes by Michael Robert Schumacher, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 79 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
May 15, 2018 - March 23, 2026
CAPSTONE PARTNERS
February 1, 2017 - November 14, 2018
HEADWATERS BD, LLC
March 21, 2012 - February 7, 2014
COWEN AND COMPANY
April 9, 2010 - October 21, 2011
MACQUARIE CAPITAL (USA) INC.
August 17, 2005 - December 23, 2008
MORGAN STANLEY & CO. LLC
September 2, 2004 - August 17, 2005
BANC OF AMERICA SECURITIES LLC
June 16, 2003 - August 28, 2003
J.P. MORGAN SECURITIES LLC
March 12, 1999 - March 14, 2002
J.P. MORGAN SECURITIES LLC
July 6, 1998 - March 5, 1999
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
Exams
Current Firm
CAPSTONE PARTNERS
CRD#: 132185 / SEC#: , 8-66572
Contact information
FINRA licenses (18 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 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| SZWAGULAK, JOHN | CHIEF COMPLIANCE OFFICER | 4033023 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
| Regulatory Event | 1 |
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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