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BF

Brice A. Foose

SEVEN POINTS CAPITAL
New York, NY 10022
Some features on this profile are disabled
CRD#: 7048964
BF

Professional summary

Brice Anthony Foose, who also goes by Brian Foose, is a registered financial professional currently at SEVEN POINTS CAPITAL, LLC located in New York, New York.

Brice is registered as a RR (Registered Representative) and started their career in finance in 2019. Brice has worked at 1 firm and has passed the Series 57TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Foose

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 Brice Anthony Foose'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

January 16, 2019 - Present

SEVEN POINTS CAPITAL, LLC

Office #1: 150 Third Avenue Suite 3002, New York, NY 10022
BD
CRD#: 144211
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/9/2019
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 11/7/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SP
SEVEN POINTS CAPITAL, LLC
SEVEN POINTS CAPITAL, LLC

CRD#: 144211 / SEC#: , 8-67644

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

Main Address
150 East 52nd Street Suite 3002, New York, NY 10022
Mailing Address
150 East 52nd Street Suite 3002, New York, NY 10022
Phone number
(212) 760-0760
Established
New York since 02/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
KATZ, MICHAEL M.OWNER4351041
MANGIERI, MICHAEL HOWARDPARTNER, CEO, CCO4229177
MILLER, JOHN STEVENSONFINOP2139980

Disclosures

Regulatory Event7

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

SEVEN POINTS CAPITAL, LLC

CRD#: 144211New York, NY 10022

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