Individual Firm
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JASON C CAPPS
JASON CHRISTOPHER CAPPS
CRD#: 4290278
IA
B
MORGAN STANLEYCRD#: 149777 301 Congress Avenue
Suite 1400
Austin, TX 78701
Suite 1400
Austin, TX 78701
0
Disclosures
14
Years of Experience
View By:
State Registrations
B
California 11/11/2015
B
North Carolina 7/29/2014
B
Colorado 3/15/2021
B
Ohio 7/12/2024
B
Florida 4/15/2014
B
Oregon 6/8/2021
B
Illinois 6/5/2014
B
Rhode Island 8/5/2021
B
Louisiana 7/15/2022
B
Texas 4/15/2014
B
Michigan 4/15/2014
IA
Texas 4/15/2014
B
New Hampshire 8/26/2022
B
Virginia 4/29/2022
B
New York 8/23/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 4/15/2014
B
Registered with this firm since 4/15/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/11/2011 - 04/16/2014 | AUSTIN, TX | |
B | 01/14/2011 - 04/16/2014 | AUSTIN, TX | |
B | 11/06/2000 - 05/09/2001 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.