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GC

Greg Capello

RAINMAKER SECURITIES
New York, NY
Some features on this profile are disabled
CRD#: 730230
GC

Professional summary

Greg Capello is a registered financial professional currently at RAINMAKER SECURITIES, LLC located in New York, New York.

Greg is registered as a RR (Registered Representative) and started their career in finance in 1981. Greg has worked at 17 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 and Series 24 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 Greg Capello's CRS (Customer Relationship Summary).
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

October 2, 2017 - Present

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
New York, NY
Past

August 30, 2016 - May 20, 2017

KPG CAPITAL PARTNERS, LLC

BD
CRD#: 165392
PARK CITY, UT
Past

September 16, 2014 - February 2, 2016

ITB CAPITAL ADVISORS, LLC

RIA
CRD#: 172408
LAKELAND, FL
Past

February 3, 2012 - October 28, 2015

JAMES I. BLACK & COMPANY

BD
CRD#: 1249
LAKELAND, FL
Past

January 5, 2011 - April 25, 2011

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
BOCA RATON, FL
Past

April 6, 2009 - January 25, 2011

SPARTAN SECURITIES GROUP, LTD.

BD
CRD#: 104478
ST. PETERSBURG, FL
Past

May 30, 2007 - June 20, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

February 1, 2005 - September 7, 2006

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

December 15, 2003 - February 3, 2005

THINKEQUITY LLC

BD
CRD#: 44274
SAN FRANCISCO, CA
Past

April 27, 2001 - June 11, 2003

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

September 16, 1999 - May 1, 2001

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

May 7, 1993 - July 10, 1999

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

February 16, 1993 - April 30, 1993

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY
Past

December 24, 1991 - January 21, 1993

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

June 1, 1989 - October 15, 1990

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 26, 1988 - November 23, 1988

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

June 2, 1987 - September 21, 1987

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
Past

October 7, 1985 - February 18, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

May 18, 1981 - September 24, 1985

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501

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
Arizona
(1/10/2018)
RR
California
(10/3/2017)
RR
Colorado
(3/22/2018)
RR
Connecticut
(1/18/2018)
RR
Florida
(1/10/2018)
RR
Illinois
(8/24/2018)
RR
Indiana
(1/10/2018)
RR
Maryland
(2/7/2018)
RR
New Jersey
(3/8/2018)
RR
New York
(1/29/2018)
RR
North Carolina
(2/15/2018)
RR
Ohio
(10/2/2017)
RR
Pennsylvania
(10/3/2017)
RR
Texas
(3/13/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/5/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/23/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/13/2021
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/18/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RAINMAKER SECURITIES, LLC
RAINMAKER SECURITIES, LLC

CRD#: 132995 / SEC#: , 8-66667

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

Main Address
2000 Salzedo Street, #1218 Attn: Rainmaker Securities, Llc, Coral Gables, FL 33134
Mailing Address
382 Ne 191st St. #86647 #86647, Miami, FL 33179-3899
Phone number
(888) 333-1091
Established
Delaware since 03/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAINMAKER GROUP HOLDINGS, LLCSOLE MEMBER
ANDERSON, GLEN WAYNEPRESIDENT5030000
CIOFFI, DOMINIC CHARLESCCO6505600

Disclosures

Regulatory Event4

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

RAINMAKER SECURITIES, LLC

CRD#: 132995New York, NY

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