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SP

Suresh Perera

CAPCONNECT+ EMARKETS
Westlake Village, CA 91362
Some features on this profile are disabled
CRD#: 3203843
SP

Professional summary

Suresh Perera is a registered financial professional currently at CAPCONNECT+ EMARKETS located in Westlake Village, California.

Suresh is registered as a RR (Registered Representative) and started their career in finance in 1999. Suresh has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Suresh Perera's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 16, 2024 - Present

CAPCONNECT+ EMARKETS

Office #1: 340 North Westlake Blvd., Suite 160, Westlake Village, CA 91362
BD
CRD#: 310433
Westlake Village, CA
Past

August 10, 2021 - October 25, 2022

CAPCONNECT+ EMARKETS

BD
CRD#: 310433
WESTLAKE VILLAGE, CA
Past

September 30, 2009 - April 6, 2020

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
SAN FRANCISCO, CA
Past

January 31, 2007 - August 28, 2008

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

February 6, 2006 - October 25, 2006

WASHINGTON SECURITIES CORPORATION

BD
CRD#: 46213
CHEVY CHASE, MD
Past

June 30, 1999 - May 12, 2004

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CE
CAPCONNECT+ EMARKETS
CAPCONNECT+ EMARKETS | CAPCONNECT+ EMARKETS, LLC

CRD#: 310433 / SEC#: , 8-70596

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
340 North Westlake Blvd., Suite 160, Westlake Village, CA 91362
Mailing Address
340 North Westlake Blvd., Suite 160, Westlake Village, CA 91362
Phone number
(818) 657-0288
Established
Delaware since 07/27/2020
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPCONNECT+ INC.PARENT COMPANY
DAFOULAS, KONSTANTINOSCFO, CEO
ONESTO, RICHARD ERNESTFINOP, PFO, POO2453096
SWEENEY, BRIAN PATRICKCCO4174087

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.

Company Information

CAPCONNECT+ EMARKETS

CRD#: 310433Westlake Village, CA 91362

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