Carlos CapaceteCRD Number: 1429466
Current Firm: Kovack Advisors, Inc.
Carlos Capacete (CRD# 1429466) is an Investment Advisor Representative working at Kovack Advisors, Inc. in Fort Lauderdale, FL and has over 30 years of experience in the finance industry.
Northstar Financial Planners, Inc.
Fin-est Investment Advisors, LLC
|Kovack Securities, Inc.||Fort Lauderdale, FL||Aug 2014 - Current||3|
|Kovack Advisors, Inc.||Fort Lauderdale, FL||Aug 2014 - Current||3|
|Ubs Financial Services Inc.||San Juan, PR||Jul 2005 - Aug 2014||9|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Sep 2013|
|S63||Uniform Securities State Law Examination||Jun 1987|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,691MILLIONS
Total Number of Accounts7,904ACCOUNTS
Average Account Value$213,912
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV