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Robert Gennaro Capone

Morgan Stanley & Co. LLC

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About Robert Gennaro Capone

Robert Gennaro Capone is an active Broker-Dealer. Robert has been in the industry since 2012. Robert is currently registered with Morgan Stanley & Co. LLC. Robert has previously worked with UBS Securities LLC and Deutsche Bank Securities Inc.. Robert has passed the Operations Professional Examination, the Securities Industry Essentials Examination and the General Securities Representative Examination.

Firm Information

Robert Capone is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

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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Robert Capone’s Registration & Firm History

NY

12/22/2022 - Present

Morgan Stanley & Co. LLC (New York NY)

NY

11/09/2021 - 11/22/2022

UBS SECURITIES LLC (NEW YORK NY)

NY

05/30/2018 - 03/23/2021

UBS SECURITIES LLC (NEW YORK NY)

NY

02/09/2018 - 05/18/2018

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

12/01/2014 - 01/04/2017

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

12/13/2010 - 11/13/2014

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/10/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Robert Gennaro Capone.
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