Ernest Mark Caponegro
Professional Summary
Ernest Mark Caponegro, who also goes by Ernest Caponegro, is a registered financial advisor currently at OSAIC ADVISORY SERVICES, LLC located in Manasquan, New Jersey and OSAIC WEALTH, INC. located in Manasquan, New Jersey. Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Ernest has worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 15, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ernest Caponegro
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
44 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
2020 WEALTH MANAGEMENT GROUP | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PICACHO FINANCIAL CONSULTING | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT LLC | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT, LLC | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARS WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL, INC. | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | GALBRAITH FINANCIAL | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CORUJO ADVISORY GROUP, LLC | CORNERSTONE ASSET MANAGEMENT | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP LLC | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & COMPANY 401(K) ADVISORS AND PRIVATE WEALTH MANAGEMENT | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BME INVESTMENT GROUP | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON FINANCIAL GROUP | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | AB WEALTH MANAGEMENT | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
Contact Information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339Phone Number
(866) 580-8219# of Employees
2,180SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
50,459AUM (Assets Under Management)
$15,479,826,382Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | Cover Page | Report |
| 12/18/2024 | Cover Page | Report |
| 01/24/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
2020 WEALTH MANAGEMENT GROUP | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PICACHO FINANCIAL CONSULTING | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT LLC | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT, LLC | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARS WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL, INC. | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | GALBRAITH FINANCIAL | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CORUJO ADVISORY GROUP, LLC | CORNERSTONE ASSET MANAGEMENT | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP LLC | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & COMPANY 401(K) ADVISORS AND PRIVATE WEALTH MANAGEMENT | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BME INVESTMENT GROUP | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON FINANCIAL GROUP | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | AB WEALTH MANAGEMENT | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
State Registrations and Notice Filings
(10/11/2024)
(10/15/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 15 — Foreign Currency Options Examination
Passed May 1986Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1989SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Ernest Mark Caponegro's CRS (Customer Relationship Summary).
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