Arnaldo R. Capote
Professional summary
Arnaldo Raul Capote, who also goes by Andy Capote, Arnaldo R Capote III, Arnaldo Raul Capote III, is a registered financial professional currently at CLEAR STREET LLC located in Del Mar, California.
Arnaldo is registered as a RR (Registered Representative) and started their career in finance in 1999. Arnaldo has worked at 9 firms and has passed the Series 63, Series 65, Series 99TO, Series 57TO, SIE, Series 3, Series 44, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arnaldo Raul Capote's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 7, 2022 - Present
CLEAR STREET LLC
Office #1: 2010 Jimmy Durante Blvd, Suite 270 , Del Mar, CA 92014June 1, 2020 - October 2, 2023
PRECISION SECURITIES, LLC
January 3, 2007 - June 2, 2020
SAGETRADER, LLC
December 6, 2006 - October 31, 2012
VTRADER PRO, LLC
May 1, 2006 - December 6, 2006
VTRADER, LLC.
September 27, 2005 - August 15, 2007
TRANSCEND CAPITAL
July 10, 2003 - September 24, 2003
MILLENNIUM BROKERAGE, L.L.C.
August 1, 2000 - May 2, 2003
CITIGROUP GLOBAL MARKETS INC.
July 27, 2000 - May 2, 2003
CITIGROUP GLOBAL MARKETS INC.
April 20, 1999 - June 19, 2000
MORGAN STANLEY DW 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
(2/7/2022)
(2/7/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 44
Date: 4/17/2008
PCX Market Maker ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Long-Term Stock Exchange, Inc.
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CLEAR STREET LLC
CRD#: 288933 / SEC#: , 8-69972
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEAR STREET HOLDINGS LLC | SOLE CLASS A MEMBER | |
| AUSUBEL, ELLI MARK | DIRECTOR | 5715145 |
| COHEN, URIEL EPHRAIM | DIRECTOR | 4089765 |
| HAMMERICH, DALF PAUL | HEAD OF SUPPORT | 4710381 |
| MOCCIA, CHRISTY NOEL | CHIEF COMPLIANCE OFFICER | 4855629 |
| OLIVEIRA, BRIAN | CFO/FINOP/PRINCIPAL FINANCIAL OFFICER | 5371120 |
| SICKLICK, KENNETH | DIRECTOR | 7418830 |
| VOLZ, ANDREW | DIRECTOR, CHIEF EXECUTIVE OFFICER | 4808674 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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