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NC

Nicholas J. Capuano

B. RILEY SECURITIES
Arlington, VA 22209
Some features on this profile are disabled
CRD#: 5005905
NC

Professional summary

Nicholas John Capuano is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Arlington, Virginia.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2005. Nicholas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 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.
B. Riley Capital Management, LLC. Affiliated Investment Adviser of B. Riley & Co., LLC. Investment-related. 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025. Portfolio Manager. Approximately 40 hours per month, all of which occur during market hours. B. Riley/GA Principal Investments. 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025. Investment-related. Chief Investment Officer. Approximately 120 hours per month, all of which occur during market hours. BeBe Stores, Inc. (Nasdaq: BEBE) / not investment related / 400 Valley Drive, Brisbane, CA 94005 / owns and manages retail oriented brands / Chairman of the Board of Directors / start date 1/16/2018 / approximately 16 hours per month, none during market hours / duties:include usual board oversight activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas John Capuano's CRS (Customer Relationship Summary).
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

November 30, 2017 - Present

B. RILEY SECURITIES, INC.

Office #1: 1300 N 17th Street Suite 1300, Arlington, VA 22209
BD
CRD#: 25027
Arlington, VA
Past

July 22, 2015 - March 27, 2025

B. RILEY CAPITAL MANAGEMENT

RIA
CRD#: 160510
LOS ANGELES, CA
Past

January 2, 2014 - April 28, 2015

B. RILEY ASSET MANAGEMENT, LLC

RIA
CRD#: 157160
LOS ANGELES, CA
Past

November 4, 2009 - April 16, 2014

B. RILEY & CO., LLC

RIA
CRD#: 40355
LOS ANGELES, CA
Past

October 23, 2009 - November 30, 2017

B. RILEY & CO., LLC

BD
CRD#: 40355
LOS ANGELES, CA
Past

September 4, 2006 - October 14, 2009

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA
CRD#: 108258
LOS ANGELES, CA
Past

August 9, 2005 - October 14, 2009

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
LOS ANGELES, CA

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
Virginia
(2/22/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/14/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 9/20/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 9/2/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 8/8/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BR
B. RILEY SECURITIES, INC.
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

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

Main Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Mailing Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Phone number
(310) 966-1444
Established
Delaware since 06/16/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
B. RILEY SECURITIES HOLDINGS, INC.DIRECT PARENT
BAKER, JAMES RICHARDCO-CHIEF EXECUTIVE OFFICER5834046
INNIS, KATHLEEN GIBBONSCHIEF COMPLIANCE OFFICER2112837
MCCOY, MICHAEL RICHARDCHIEF FINANCIAL OFFICER4743031
MOORE, ANDREW THOMASCO-CHIEF EXECUTIVE OFFICER4574997
SCHUTT, JANELLE REGINACONTROLLER2853858

Disclosures

Regulatory Event12
Civil Event1
Arbitration1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

B. RILEY SECURITIES, INC.

CRD#: 25027Arlington, VA 22209

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