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AR

Andrew M. Rippy

CAPSTONE PARTNERS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 4225163
AR

Professional summary

Andrew Merritt Rippy, who also goes by Andrew M Rippy, is a registered financial professional currently at CAPSTONE PARTNERS located in Denver, Colorado.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew M Rippy

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) - BD

Click below to view Andrew Merritt Rippy's CRS (Customer Relationship Summary).

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

Current

January 13, 2026 - Present

CAPSTONE PARTNERS

Office #1: 1225 17th Street Suite 750, Denver, CO 80202
BD
CRD#: 132185
Denver, CO
Past

January 10, 2024 - January 14, 2026

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Beaverton, OR
Past

June 28, 2021 - November 14, 2023

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
San Francisco, CA
Past

June 25, 2019 - March 22, 2021

TRUIST SECURITIES, INC.

BD
CRD#: 6271
SAN FRANCISCO, CA
Past

June 6, 2017 - June 28, 2019

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Portland, OR
Past

April 13, 2015 - June 6, 2017

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
PORTLAND, OR
Past

November 27, 2001 - April 13, 2015

PACIFIC CREST SECURITIES LLC

BD
CRD#: 6619
PORTLAND, OR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Oregon
(1/13/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/26/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/26/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/16/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CAPSTONE PARTNERS
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
10 Post Office Square Suite 800n, Boston, MA 02109
Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109
Phone number
(617) 619-3300
Established
Delaware since 04/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPSTONE CORPORATE FINANCE LLCDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
CASPER, MARK VERNON JR.CHIEF FINANCIAL OFFICER6682711
FERRARA, JOHN MARIO IIPRESIDENT2097226
JANSON, PAUL EDWARDDIRECTOR4992234
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISEXECUTIVE MANAGING DIRECTOR6419334
SZWAGULAK, JOHNCHIEF COMPLIANCE OFFICER4033023
VALDIVIA, SERENAAML OFFICER7790899

Disclosures

Regulatory Event1

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

CAPSTONE PARTNERS

CRD#: 132185Denver, CO 80202

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