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Symeon Shaw-wakeman

CAPSTONE PARTNERS
New York, NY 10036
CRD#: 6766423
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SS
Symeon Shaw-wakemanCAPSTONE PARTNERS

Professional summary

Symeon Shaw-wakeman, who also goes by Symeon Rashad Shaw-wakeman, Symeon Shaw-wakeman, is a registered financial professional currently at CAPSTONE PARTNERS located in New York, New York.

Symeon is registered as a RR (Registered Representative) and started their career in finance in 2017. Symeon has worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Symeon Rashad Shaw-Wakeman | Symeon Shaw-Wakeman

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 Symeon Shaw-wakeman'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

June 23, 2026 - Present

CAPSTONE PARTNERS

Office #1: 1166 Avenue Of The Americas 21st Floor, New York, NY 10036
BD
CRD#: 132185
New York, NY
Past

December 14, 2023 - July 22, 2024

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
NEW YORK, NY
Past

June 1, 2022 - July 6, 2023

TRUIST SECURITIES, INC.

BD
CRD#: 6271
New York, NY
Past

August 18, 2021 - May 5, 2022

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

April 18, 2017 - May 15, 2017

E*TRADE SECURITIES LLC

BD
CRD#: 29106
ALPHARETTA, GA

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
(6/23/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/17/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/17/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/30/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CAPSTONE PARTNERS
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

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

Main Address
10 Post Office Square Suite 800n, Boston, MA 02109
Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109
Phone number
(617) 619-3300
Established
Delaware since 04/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
CAPSTONE CORPORATE FINANCE LLCDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
CASPER, MARK VERNON JR.CHIEF FINANCIAL OFFICER6682711
FERRARA, JOHN MARIO IIPRESIDENT2097226
JANSON, PAUL EDWARDDIRECTOR4992234
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISEXECUTIVE MANAGING DIRECTOR6419334
SZWAGULAK, JOHNCHIEF COMPLIANCE OFFICER4033023
VALDIVIA, SERENAAML OFFICER7790899

Disclosures

Regulatory Event1

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

CAPSTONE PARTNERS

CRD#: 132185New York, NY 10036

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