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Carlos Capacete

Investment Adviser Representative at KOVACK ADVISORS, INC.

San Juan, PRCRD #1429466Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
3 states
Exams Passed
13

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
FloridaPuerto RicoTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/11/2013
Series 63
Uniform Securities Agent State Law Examination
Passed 6/6/1987
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
Series 57
Securities Trader Exam
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 10/14/2008
Series 55
Limited Representative-Equity Trader Exam
Passed 10/19/1999
Series 7
General Securities Representative Examination
Passed 8/16/1986
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 53
Municipal Securities Principal Examination
Passed 11/2/1998
Series 24
General Securities Principal Examination
Passed 8/29/1998
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 11/17/1997

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.029
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Kovack Advisors, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KOVACK ADVISORS, INC.Current
8/20/2014San Juan, PR
UBS FINANCIAL SERVICES INC.
9/12/201312/31/2013San Juan, PR

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Carlos Capacete has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Carlos Capacete - Financial Advisor in San Juan, PR | AdvisorFinder