Anthony M. Capozza
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.
Anthony Mario Capozza, who also goes by Tony Capozza, was a registered financial advisor .
Anthony is a previously registered financial advisor and started their career in finance in 1969. Anthony had worked at 9 firms and has passed the Series 63, Series 15, Series 5, PC, Series 000, Series 1, Series 24, Series 53, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2003 - December 31, 2015
CAPSTONE GROUP LLC
March 26, 2001 - May 6, 2013
CAPSTONE INVESTMENTS
September 29, 2000 - December 31, 2004
BLACK MOUNTAIN ADVISORS, LLC
March 27, 1997 - April 30, 2013
CAPSTONE INVESTMENTS
February 25, 1997 - July 11, 1997
FIRST ALLIED SECURITIES, INC.
April 3, 1996 - January 2, 1997
INTERNATIONAL SECURITIES GROUP, INC.
July 26, 1994 - December 13, 1995
VANGUARD CAPITAL
February 9, 1981 - March 1, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 1975 - March 6, 1981
E. F. HUTTON & COMPANY INC
June 13, 1973 - September 13, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
February 25, 1969 - June 29, 1973
E. F. HUTTON & COMPANY INC
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
Series 15
Date: 5/22/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/9/1981
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 000
Date: 2/21/1969
General Securities Principal ExaminationSeries 1
Date: 2/21/1969
Registered Representative ExaminationSeries 12
Date: 7/15/1977
NYSE Branch Manager ExaminationCurrent Firm
CAPSTONE GROUP LLC
CRD#: 122911 / SEC#:
Contact information
Red Flags
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