Lindsay R. Kapin
Professional summary
Lindsay Rebecca Kapin, who also goes by Lindsay Kapin, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Plano, Texas.
Lindsay is registered as a RR (Registered Representative) and started their career in finance in 2010. Lindsay has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lindsay Rebecca Kapin's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2022 - Present
VANGUARD MARKETING CORPORATION
Office #1: 7900 Windrose Avenue, Plano, TX 75024May 20, 2022 - December 31, 2024
VANGUARD ADVISERS, INC.
October 17, 2018 - August 15, 2019
CHARLES SCHWAB & CO., INC.
October 16, 2018 - August 15, 2019
CHARLES SCHWAB & CO., INC.
July 16, 2015 - February 24, 2017
STRATEGIC ADVISERS LLC
March 12, 2010 - February 23, 2017
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/20/2022)
(5/20/2022)
Exams
Series 7TO
Date: 4/20/2022
General Securities Representative ExaminationFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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Company Information
VANGUARD MARKETING CORPORATION
CRD#: 7452Plano, TX 75024TRUST BUT VERIFY
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