Yogesh P. Punjabi
Professional summary
Yogesh Prakash Punjabi, who also goes by Yogesh Punjabi, is a registered financial professional currently at CAPSTONE PARTNERS located in Boston, Massachusetts.
Yogesh is registered as a RR (Registered Representative) and started their career in finance in 2010. Yogesh has worked at 6 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yogesh Prakash Punjabi's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 20, 2019 - Present
CAPSTONE PARTNERS
Office #1: 10 Post Office Square Suite 800n, Boston, MA 02109July 7, 2015 - May 8, 2019
JEFFERIES LLC
January 2, 2013 - July 15, 2015
BB&T SECURITIES, LLC
January 2, 2013 - July 15, 2015
BB&T SECURITIES, LLC
September 12, 2012 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
August 31, 2012 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
December 21, 2011 - June 21, 2012
FINSEC, LLC
August 2, 2010 - August 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 2010 - August 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
CAPSTONE PARTNERS
CRD#: 132185 / SEC#: , 8-66572
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE CORPORATE FINANCE LLC | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| CASPER, MARK VERNON JR. | CHIEF FINANCIAL OFFICER | 6682711 |
| DAHLKE, STEPHEN MATTHEW | CHIEF COMPLIANCE OFFICER | 2577928 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
CAPSTONE PARTNERS
CRD#: 132185Boston, MA 02109TRUST BUT VERIFY
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