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Simonne Cepollina

CAPITAL DYNAMICS BROKER DEALER LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 6856919
SC

Professional summary

Simonne Cepollina is a registered financial professional currently at CAPITAL DYNAMICS BROKER DEALER LLC located in New York, New York.

Simonne is registered as a RR (Registered Representative) and started their career in finance in 2017. Simonne has worked at 3 firms and has passed the Series 66, Series 63, 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 Simonne Cepollina'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

September 2, 2020 - Present

CAPITAL DYNAMICS BROKER DEALER LLC

Office #1: 444 Madison Avenue, New York, NY 10022
BD
CRD#: 148780
New York, NY
Past

November 7, 2018 - August 10, 2020

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PHILADELPHIA, PA
Past

May 24, 2018 - August 10, 2020

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PHILADELPHIA, PA
Past

November 16, 2017 - May 10, 2018

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
Boston, MA

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
(1/31/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/5/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/20/2017
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: 11/16/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CD
CAPITAL DYNAMICS BROKER DEALER LLC
CAPITAL DYNAMICS BD | CAPITAL DYNAMICS BROKER DEALER LLC

CRD#: 148780 / SEC#: , 8-68071

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

Main Address
444 Madison Avenue, New York, NY 10022
Mailing Address
444 Madison Avenue, New York, NY 10022
Phone number
(212) 798-3400
Established
Delaware since 03/14/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL DYNAMICS US, INC.SOLE MEMBER
HAHN, MARTIN GILLISELECTED MANAGER - CEO6029553
HARRIS, PATRICK EUGENECHIEF COMPLIANCE OFFICER5748909
ROMERO, MONIQUE VICTORIAELECTED MANAGER - FINOP/PFO/POO6712654

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

CAPITAL DYNAMICS BROKER DEALER LLC

CRD#: 148780New York, NY 10022

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