PC
Philip W. Capen
TRUIST SECURITIES
NEW YORK, NY 10001
CRD#: 5356385
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PC
Philip William CapenTRUIST SECURITIES
Professional summary
Philip William Capen, who also goes by Philip Capen, is a registered financial professional currently at TRUIST SECURITIES, INC. located in New York, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 2008. Philip has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Philip Capen
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.
CRS (Client Relationship Summary) - BD
Click below to view Philip William Capen'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®
NoneExperience
Current
June 18, 2026 - Present
TRUIST SECURITIES, INC.
Office #1: 50 Hudson Yards Fl 69 & 70, New York, NY 10001BD
CRD#: 6271
NEW YORK, NY
Past
June 23, 2023 - June 11, 2026
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
March 26, 2021 - July 13, 2023
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
June 14, 2013 - January 7, 2021
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
November 10, 2008 - March 13, 2013
PIPER SANDLER & CO.
BD
CRD#: 665
SAN FRANCISCO, 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
Alabama(6/18/2026)
RR
Alaska(6/18/2026)
RR
Arizona(6/18/2026)
RR
Arkansas(6/18/2026)
RR
California(6/18/2026)
RR
Colorado(6/18/2026)
RR
Connecticut(6/18/2026)
RR
Delaware(6/18/2026)
RR
District of Columbia(6/18/2026)
RR
Florida(6/18/2026)
RR
Georgia(6/18/2026)
RR
Hawaii(6/18/2026)
RR
Idaho(6/18/2026)
RR
Illinois(6/18/2026)
RR
Indiana(6/18/2026)
RR
Iowa(6/18/2026)
RR
Kansas(6/18/2026)
RR
Kentucky(6/18/2026)
RR
Louisiana(6/18/2026)
RR
Maine(6/18/2026)
RR
Maryland(6/18/2026)
RR
Massachusetts(6/18/2026)
RR
Michigan(6/18/2026)
RR
Minnesota(6/18/2026)
RR
Mississippi(6/18/2026)
RR
Missouri(6/18/2026)
RR
Montana(6/18/2026)
RR
Nebraska(6/18/2026)
RR
Nevada(6/18/2026)
RR
New Hampshire(6/18/2026)
RR
New Jersey(6/18/2026)
RR
New Mexico(6/18/2026)
RR
New York(6/18/2026)
RR
North Carolina(6/18/2026)
RR
North Dakota(6/18/2026)
RR
Oklahoma(6/18/2026)
RR
Oregon(6/18/2026)
RR
Pennsylvania(6/18/2026)
RR
Puerto Rico(6/18/2026)
RR
Rhode Island(6/18/2026)
RR
South Carolina(6/18/2026)
RR
South Dakota(6/18/2026)
RR
Tennessee(6/18/2026)
RR
Texas(6/18/2026)
RR
Utah(6/18/2026)
RR
Vermont(6/18/2026)
RR
Virginia(6/18/2026)
RR
Washington(6/18/2026)
RR
West Virginia(6/18/2026)
RR
Wisconsin(6/18/2026)
RR
Wyoming(6/18/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION
CRD#: 6271 / SEC#: , 8-17212
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
