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JC

Jason R. Capone

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CRD#: 3220937
JC

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.

Jason Richard Capone was a registered financial professional .

Jason is a previously registered financial professional and started their career in finance in 2004. Jason had 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 30, 2015 - July 28, 2025

WATERMILL INSTITUTIONAL TRADING LLC

BD
CRD#: 150892
Jersey City, NJ
Past

May 8, 2014 - July 31, 2015

LWPARTNERS CAPITAL GROUP LLC

BD
CRD#: 167438
NEW YORK, NY
Past

March 12, 2010 - March 4, 2014

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

July 9, 2009 - March 15, 2010

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

January 15, 2004 - March 9, 2004

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY

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: 4/26/2010
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: 7/8/2009
General Securities Representative Examination

Current Firm

WI
WATERMILL INSTITUTIONAL TRADING LLC
WATERMILL INSTITUTIONAL TRADING LLC | WATERMILL TRADING LLC

CRD#: 150892 / SEC#: , 8-68311

New Jersey
Registered Investment Advisory firm - SEC (2/10/2025 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
111 Town Square Place Suite 1520, Jersey City, NJ 07310
Mailing Address
111 Town Square Place Suite 1520, Jersey City, NJ 07310
Phone number
(917) 621-3829
Established
Delaware since 01/23/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
20

FINRA licenses (15 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WATERMILL TRADING HOLDINGS LLC100% OWNER
BRAM, BENJAMIN SCOTTCEO1319325
DEMPSEY, DAVID JOSEPHCOO,CCO1831193
RUTITSKIY, DMITRIYFINOP6117665
WACHSTETER, GREGORY ALANMANAGING DIRECTOR3165385

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

WATERMILL INSTITUTIONAL TRADING LLC

CRD#: 150892

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