Vincent M. Capozzi
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.
Vincent Michael Capozzi was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1980. Vincent had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2008 - November 30, 2017
KOVACK SECURITIES INC.
March 22, 1996 - November 24, 2008
FIRST MONTAUK SECURITIES CORP.
February 21, 1996 - March 22, 1996
WALNUT STREET SECURITIES, INC.
August 20, 1986 - February 27, 1996
INVESTACORP, INC.
October 18, 1984 - August 26, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 28, 1980 - November 1, 1984
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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