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CC

Cody Capobianco

HIGHTOWER SECURITIES
Chicago, IL 60606-3414
Some features on this profile are disabled
CRD#: 6521491
CC

Professional summary

Cody Capobianco, who also goes by Cody A Capobianco, Cody Alexander Capobianco, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Chicago, Illinois.

Cody is registered as a RR (Registered Representative) and started their career in finance in 2016. Cody has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cody A Capobianco | Cody Alexander Capobianco

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 Cody Capobianco's CRS (Customer Relationship Summary).
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

April 1, 2026 - Present

HIGHTOWER SECURITIES, LLC

Office #1: 200 West Madison Street Suite 2500, Chicago, IL 60606-3414
BD
CRD#: 116681
Chicago, IL
Past

August 13, 2019 - July 28, 2023

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

August 13, 2019 - July 28, 2023

OSAIC SERVICES, INC.

BD
CRD#: 133763
SCOTTSDALE, AZ
Past

August 13, 2019 - July 28, 2023

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

August 13, 2019 - July 28, 2023

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

September 17, 2018 - June 10, 2019

HENNION & WALSH, INC.

BD
CRD#: 25766
PARSIPPANY, NJ
Past

March 22, 2016 - March 9, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

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 Jersey
(4/1/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 6/1/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC

CRD#: 116681 / SEC#: , 8-53560

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

Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HIGHTOWER HOLDING, LLCPARENT COMPANY
BESSO, DOUGLAS JOSEPHCTO1530829
COVIELLO, BARRY ANTHONYEXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION1813688
GRAY, KENDRACHIEF COMPLIANCE OFFICER4388082
GRAY, KENDRAMUNICIPAL PRINCIPAL4388082
KARL, MATTHEW JAMESPRINCIPAL FINANCIAL OFFICER (PFO) & FINOP5361093
SMITH, SCOTT DAVIDCHIEF EXECUTIVE OFFICER2523535

Disclosures

Regulatory Event5
Arbitration1

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

HIGHTOWER SECURITIES, LLC

CRD#: 116681Chicago, IL 60606-3414

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