Nicholas Cappelleri
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.
Nicholas Cappelleri was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2000. Nicholas had worked at 14 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2017 - January 6, 2021
FMX EXECUTION, LLC
June 27, 2017 - May 27, 2020
CFWP SECURITIES, LLC
June 27, 2017 - January 6, 2021
SUNRISE BROKERS LLC
June 27, 2017 - January 6, 2021
MINT BROKERS
June 27, 2017 - January 6, 2021
GFI SECURITIES LLC
June 27, 2017 - January 6, 2021
CF SECURED, LLC
June 27, 2017 - January 6, 2021
BGC FINANCIAL, L.P.
June 27, 2017 - January 6, 2021
AQUA SECURITIES L.P.
August 31, 2016 - January 6, 2021
CANTOR FITZGERALD & CO.
August 16, 2011 - November 10, 2015
VIRTU AMERICAS LLC
March 14, 2011 - November 8, 2012
KNIGHT CAPITAL AMERICAS, L.P.
July 27, 2007 - January 10, 2011
KELLOGG CAPITAL MARKETS, LLC
October 22, 2002 - June 30, 2009
KELLOGG CAPITAL GROUP LLC
May 10, 2000 - September 12, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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
Series 55
Date: 5/29/2001
Limited Representative-Equity Trader ExamCurrent Firm
FMX EXECUTION, LLC
CRD#: 154075 / SEC#: , 8-68606
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FENICS MARKETS XCHANGE, LLC | SOLE MEMBER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| RINALDO, MARK J | CHIEF OPERATING OFFICER | 4824739 |
| SCOTTO, LOUIS JAMES | CHIEF EXECUTIVE OFFICER | 1483052 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Red Flags
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