Mark V. Casper
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.
Mark Vernon Casper Jr., who also goes by Mark Vernon Casper, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2016. Mark had worked at 2 firms and has passed the Series 79TO, SIE, Series 99TO, Series 24 and Series 27 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2018 - September 2, 2026
CAPSTONE PARTNERS
July 26, 2016 - March 4, 2019
HEADWATERS BD, 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
Exams
What does exam status mean?
Series 79TO
Passed: 6/29/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Passed: 1/2/2023
Operations Professional ExaminationCurrent Firm
CAPSTONE PARTNERS
CRD#: 132185 / SEC#: , 8-66572
Contact information
FINRA licenses (19 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE CORPORATE FINANCE LLC | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| HOHENSTEIN, THOMAS | CHIEF FINANCIAL OFFICER | 3123815 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| SZWAGULAK, JOHN | CHIEF COMPLIANCE OFFICER | 4033023 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
| Regulatory Event | 1 |
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.
