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James John Cappuccio

H.c.wainwright & CO., LLC

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About James John Cappuccio

James John Cappuccio is a financial professional with over 17 years of experience in the securities industry. Currently, James is a registered representative at H.c.wainwright & Co., LLC in New York, NY. Prior to joining H.c.wainwright, James worked at Dawson James Securities, Inc., Rodman & Renshaw, LLC, G-2 Trading, LLC, First New York Securities L.L.C., and Ladenburg, Thalmann & Co., Inc. James is licensed to sell securities in New Jersey and New York. James holds several professional designations including Series 7, 24, 55, 57, 63, 79, and SIE.

Firm Information

James Cappuccio is currently registered with H.c.wainwright & CO., LLC. H.c.wainwright & CO., LLC is a Limited Liability Company that was formed in April 2013. They are registered to conduct business in all 50 U.S. states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

11

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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James Cappuccio’s Registration & Firm History

NY

04/15/2013 - Present

H.c.wainwright & CO., LLC (NEW YORK NY)

FL

09/19/2012 - 04/17/2013

DAWSON JAMES SECURITIES, INC. (BOCA RATON FL)

NY

07/18/2012 - 09/14/2012

RODMAN & RENSHAW, LLC (NEW YORK NY)

NY

10/01/2008 - 11/02/2010

G-2 TRADING,LLC (NEW YORK NY)

NY

03/01/2004 - 06/01/2005

FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)

NY

06/19/2002 - 02/24/2004

RODMAN & RENSHAW, LLC (NEW YORK NY)

NY

07/03/2000 - 06/04/2002

LADENBURG, THALMANN & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/30/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/29/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/03/2013

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/20/2012

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 06/29/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James John Cappuccio.
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