Cassandra P. Compton Kapoor
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.
Cassandra Paula Compton Kapoor, who also goes by Cassandra Paula Compton, Cassandra Paula Compton-butt, was a registered financial professional .
Cassandra is a previously registered financial professional and started their career in finance in 1998. Cassandra had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2015 - September 25, 2017
CAPITAL ONE INVESTING, LLC
May 1, 2010 - February 22, 2013
CAPITAL ONE INVESTMENT SERVICES LLC
May 10, 2006 - May 1, 2010
CHEVY CHASE FINANCIAL SERVICES
June 27, 2002 - January 5, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 30, 2000 - March 28, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 2, 1998 - January 8, 1999
BANC OF AMERICA INVESTMENT 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
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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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