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JC

Jay R. Capodiferro

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CRD#: 4663085
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.

Jay Robert Capodiferro was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 2003. Jay had worked at 12 firms and has passed the Series 63 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

August 22, 2014 - September 3, 2014

LEGEND SECURITIES, INC.

BD
CRD#: 44952
GREAT NECK, NY
Past

May 27, 2014 - August 20, 2014

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

February 18, 2014 - May 29, 2014

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
MELVILLE, NY
Past

January 31, 2012 - March 14, 2014

ANDREW GARRETT INC.

BD
CRD#: 29931
NEW YORK, NY
Past

July 20, 2011 - October 10, 2011

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
MELVILLE, NY
Past

April 2, 2009 - July 13, 2011

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
SYOSSET, NY
Past

October 8, 2008 - March 3, 2009

CLARK DODGE & CO., INC.

BD
CRD#: 23288
GARDEN CITY, NY
Past

May 23, 2008 - October 8, 2008

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
LAKEMARY, FL
Past

December 13, 2006 - May 22, 2008

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
MELVILLE, NY
Past

January 5, 2005 - December 12, 2006

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
LINDENHURST, NY
Past

September 8, 2004 - January 28, 2005

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

April 30, 2004 - October 4, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

October 30, 2003 - April 29, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, 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: 1/28/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/2003
General Securities Representative Examination

Current Firm

LS
LEGEND SECURITIES, INC.
LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

BD
Postponed Effective by SEC on 01/19/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/29/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK, INC.SHARE OWNER

Disclosures

Regulatory Event22
Arbitration14

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

LEGEND SECURITIES, INC.

CRD#: 44952

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