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Samuel Cappell

HORANG SECURITIES
NEW YORK, NY 10023
Some features on this profile are disabled
CRD#: 6354270
SC

Professional summary

Samuel Cappell is a registered financial professional currently at HORANG SECURITIES, LLC located in New York, New York.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2015. Samuel has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Cappell'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®
None

Experience

Current

November 1, 2024 - Present

HORANG SECURITIES, LLC

Office #1: 27 W 72nd St #810, New York, NY 10023
BD
CRD#: 6004
NEW YORK, NY
Past

August 7, 2015 - June 28, 2017

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

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
New York
(11/27/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/27/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/1/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/13/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HORANG SECURITIES, LLC
CN ROOSEVELT, LLC | ROOSEVELT EQUITY CORPORATION | HORANG SECURITIES, LLC | HORANG ROOSEVELT ADVISORS, LLC

CRD#: 6004 / SEC#: , 8-16608

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
27 W 72nd St #810, New York, NY 10023
Mailing Address
27 W 72nd St #810, New York, NY 10023
Phone number
(646) 884-0847
Established
Delaware since 06/01/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HORANG CAPITAL, LLCSHAREHOLDER
JUNG, ARNOLD JAEHYOUNCEO / CCO4914350
MEGENITY, BRIAN MCDONALDFINOP/CFO2889637

Disclosures

Regulatory Event2

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.

Company Information

HORANG SECURITIES, LLC

CRD#: 6004New York, NY 10023

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