Robert V. Capone
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.
Robert Vincent Capone was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 6 firms and has passed the Series 63, Series 65, Series 66, Series 6TO, SIE 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
January 29, 2021 - January 9, 2025
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 20, 2020 - January 8, 2025
ANCHOR CAPITAL
November 6, 2015 - February 10, 2017
HORNOR, TOWNSEND & KENT, LLC
March 2, 2015 - February 10, 2017
HORNOR, TOWNSEND & KENT, LLC
March 31, 2014 - June 26, 2014
NATIONWIDE SECURITIES, LLC
March 1, 1999 - March 17, 1999
J.P. MORGAN CLEARING CORP.
March 1, 1999 - March 17, 1999
J.P. MORGAN SECURITIES 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 6TO
Date: 1/29/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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