Walter A. Kapuscinski
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.
Walter Anthony Kapuscinski was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1978. Walter had worked at 34 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 15, Series 3, Series 5, Series 7, Series 14, Series 10, Series 9, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2023 - June 24, 2024
PLANNER SECURITIES LLC
June 22, 2022 - January 26, 2024
GAM SERVICES, INC.
March 17, 2022 - November 30, 2022
M.J. GROSSNICKLE, LLC
September 14, 2018 - June 25, 2024
CONDUENT SECURITIES, LLC
July 16, 2018 - June 25, 2024
BELL POTTER SECURITIES (US) LLC
June 28, 2018 - February 19, 2019
STERLING SOFTWARE SERVICES, INC.
January 30, 2018 - November 6, 2018
ADP BROKER-DEALER, INC.
March 13, 2017 - August 21, 2019
ASCENDANT ALTERNATIVE STRATEGIES, LLC
December 23, 2016 - December 1, 2023
GUOTAI JUNAN SECURITIES USA, INC.
July 8, 2015 - January 15, 2016
ADP BROKER-DEALER, INC.
July 15, 2014 - August 11, 2020
FAMILY INVESTORS COMPANY
September 24, 2012 - March 12, 2015
SW FINANCIAL
June 29, 2011 - September 26, 2011
SLOAN SECURITIES CORP.
June 10, 2011 - April 4, 2012
ENERGY HUNTER SECURITIES, INC.
October 5, 2010 - March 24, 2011
MLV & CO. LLC
April 29, 2008 - August 20, 2008
DIVERSITY INVESTMENT CORP.
March 13, 2008 - November 5, 2014
BEDMINSTER FINANCIAL GROUP, LIMITED
September 6, 2007 - December 4, 2007
VECTORGLOBAL WMG
January 4, 2007 - December 20, 2018
POTEN CAPITAL SERVICES, LLC
April 27, 2006 - October 30, 2007
DVB CAPITAL MARKETS LLC
April 20, 2005 - April 17, 2006
MGS MARKET GUIDANCE SECURITIES, LLC
November 26, 2004 - April 17, 2006
BNY MELLON SECURITIES LLC
November 5, 1998 - March 9, 2004
EIM SECURITIES (USA) INC.
March 18, 1997 - October 8, 1997
BDS SECURITIES LLC
December 23, 1996 - February 25, 1999
BRUNSWICK WARBURG, INC.
May 1, 1996 - May 23, 1996
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 11, 1990 - February 23, 1996
SERFIN SECURITIES,INC.
September 27, 1989 - March 1, 1990
SABLE CAPITAL MARKETS, INC.
August 16, 1989 - September 25, 1989
ABI SECURITIES, INC.
July 10, 1989 - October 4, 1989
OSAIC WEALTH, INC.
June 8, 1987 - September 25, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 30, 1984 - May 7, 1987
CITICORP FINANCIAL SERVICES,INC.
July 13, 1983 - January 6, 1984
JESUP & LAMONT SECURITIES CO., INC.
February 1, 1983 - July 11, 1983
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 21, 1980 - January 18, 1983
PERSHING LLC
January 27, 1978 - August 10, 1980
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 15
Date: 12/6/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/15/1981
Interest Rate Options ExaminationSeries 12
Date: 5/1/1978
NYSE Branch Manager ExaminationCurrent Firm
PLANNER SECURITIES LLC
CRD#: 36866 / SEC#: , 8-47498
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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