James John Cappuccio
Professional Summary
James John Cappuccio is a registered financial advisor currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York. James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 79, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC
Contact Information
Main Address
430 Park Avenue 4th Floor, New York, NY 10022Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022Phone Number
(212) 356-0500Established
Delaware since 04/10/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(7/17/2014)
(4/15/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2013Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2012About the Series 79 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James John Cappuccio's CRS (Customer Relationship Summary).
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