James H Capps

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-08-25
NC	RA	APPROVED	2025-06-23

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Jos. A. Bank	Winston-Salem	NC	02/2020	02/2022
Sammy G's Tavern	High Point	NC	08/2019	06/2020
Harris Teeter	Winston-Salem	NC	08/2016	04/2017
Solid Space	Winston-Salem	NC	11/2015	06/2018
Fidelity Investments	Greensboro	NC	02/2022	04/2025
Unemployed	Winston-Salem	NC	09/2016	08/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Greensboro	NC	05/2025	Present
High Point University	High Point	NC	06/2018	12/2021
Bank Of America, N.A.	Greensboro	NC	07/2025	Present

02/2020 → 02/2022

Jos. A. Bank

Winston-Salem, NC
08/2019 → 06/2020

Sammy G's Tavern

High Point, NC
08/2016 → 04/2017

Harris Teeter

Winston-Salem, NC
11/2015 → 06/2018

Solid Space

Winston-Salem, NC
02/2022 → 04/2025

Fidelity Investments

Greensboro, NC
09/2016 → 08/2019

Unemployed

Winston-Salem, NC
05/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greensboro, NC
06/2018 → 12/2021

High Point University

High Point, NC
07/2025 → Present

Bank Of America, N.A.

Greensboro, NC

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-06-23
S63	Uniform Securities Agent State Law Examination	2023-07-18

Other Firms