Shawn B. Capper
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.
Shawn Benjamin Capper was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 1999. Shawn had worked at 7 firms and has passed the Series 63 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
October 23, 2009 - October 17, 2016
WHARTONHILL INVESTMENT ADVISORS
September 22, 2008 - December 31, 2009
NRP ADVISORS, INC.
September 22, 2008 - December 31, 2009
NRP FINANCIAL, INC.
May 8, 2006 - October 2, 2008
LEHMAN BROTHERS INC.
May 1, 2006 - October 2, 2008
LEHMAN BROTHERS INC.
August 23, 2005 - May 1, 2006
UST SECURITIES CORP.
December 3, 2002 - March 16, 2005
J.P. MORGAN SECURITIES INC.
May 1, 2001 - November 12, 2002
J.P. MORGAN SECURITIES INC.
November 23, 1999 - May 1, 2001
JPMSI
State Registrations and Notice Filings
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Exams
Current Firm
WHARTONHILL INVESTMENT ADVISORS
CRD#: 151483 / SEC#: 801-70611
Contact information
Documents
Red Flags
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