SC
Salvatore M. Capizzi
DUNHAM
San Diego, CA 92122
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CRD#: 1037757
SC
Professional summary
Salvatore Michael Capizzi is a registered financial advisor currently at DUNHAM located in San Diego, California.
Salvatore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Salvatore has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
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.
Mr. Capizzi is a Board Member with the Exit planning Institute (EPI) San Diego chapter located at 6256 Greenwich Drive, Suite 425 in San Diego, CA. EPI provides business exit planning services. Board Members are charged with contacting potential partners for monthly meetings to encourage and foster the adoption of best practices for the exit planning profession. Mr. Capizzi receives no compensation and works approximately one hour per month during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Salvatore Michael Capizzi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Salvatore Michael Capizzi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 16, 2008 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #3: 6256 Greenwich Drive Suite 550, San Diego, CA 92122RIA
BD
CRD#: 13162
San Diego, CA
Current
January 15, 2008 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #3: 6256 Greenwich Drive Suite 550, San Diego, CA 92122RIA
BD
CRD#: 13162
San Diego, CA
Past
November 18, 2005 - January 2, 2008
THOMASLLOYD CAPITAL LLC
BD
CRD#: 38784
PLEASANTVILLE, NY
Past
January 30, 2004 - September 24, 2004
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
RIA
CRD#: 109591
PARSIPPANY, NJ
Past
November 12, 2003 - September 24, 2004
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
December 18, 1995 - November 18, 2002
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
March 6, 1995 - November 21, 1995
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
July 31, 1993 - April 6, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 27, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 20, 1982 - October 28, 1987
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/13/2008)
RR
California(1/15/2008)
IAR
California(1/16/2008)
RR
Connecticut(7/11/2008)
RR
Florida(2/4/2008)
RR
Hawaii(11/13/2008)
RR
Idaho(2/4/2008)
RR
Illinois(7/18/2008)
RR
Kentucky(1/15/2008)
RR
Louisiana(1/15/2008)
RR
Maine(7/11/2008)
RR
Massachusetts(7/11/2008)
RR
Michigan(2/4/2008)
RR
Minnesota(6/30/2021)
RR
Mississippi(1/15/2008)
RR
Missouri(6/7/2010)
RR
Montana(2/4/2008)
RR
Nevada(2/4/2008)
RR
New Hampshire(7/11/2008)
RR
New York(7/11/2008)
RR
Oregon(2/4/2008)
RR
Rhode Island(7/11/2008)
RR
South Carolina(1/15/2008)
RR
South Dakota(9/15/2009)
RR
Utah(2/4/2008)
RR
Vermont(4/3/2008)
RR
Washington(2/4/2008)
RR
West Virginia(2/4/2008)
RR
Wisconsin(2/4/2008)
RR
Wyoming(2/4/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
6256 Greenwich Drive Suite 550, San Diego, CA 92122
Mailing Address
P.o. Box 910309, San Diego, CA 92191
Phone number
(858) 964-0500
Established
California since 05/26/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
39
SEC notice filing (10 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUNHAM & ASSOCIATES HOLDINGS, INC. | SHAREHOLDER | |
| BOISCH, HELMUT | CHIEF OPERATIONS OFFICER | 5371920 |
| CAPIZZI, SALVATORE MICHAEL | CHIEF SALES AND MARKETING OFFICER | 1037757 |
| DUNHAM, JEFFREY ALAN | CHIEF EXECUTIVE OFFICER | 1149167 |
| DYKMANS, RYAN JOHN | PRESIDENT AND CHIEF INVESTMENT OFFICER | 4847419 |
| GARDYNE, JENNIFER KIM | CHIEF FINANCIAL OFFICER | 8188759 |
| PALERMO, VIKTORIA IRENA | CHIEF COMPLIANCE OFFICER | 4769903 |
Regulatory assets under management
| Total Number of Accounts | 12,032 |
| AUM (Assets Under Management) | $ 4,737,607,372 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 10/23/2024 | ||
| 07/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
