Salvatore Michael Capizzi
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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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.
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.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
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.
Contact Information
Main Address
6256 Greenwich Drive Suite 550, San Diego, CA 92122Mailing Address
P.o. Box 910309, San Diego, CA 92191Phone Number
(858) 964-0500Established
California since 05/26/1982Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
43SEC notice filing (14 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
Documents
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
13,155AUM (Assets Under Management)
$5,627,638,262Disclosures
Regulatory Event
2Arbitration
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | Cover Page | Report |
| 10/23/2024 | Cover Page | Report |
| 07/26/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
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.
State Registrations and Notice Filings
(11/13/2008)
(1/15/2008)
(1/16/2008)
(7/11/2008)
(2/4/2008)
(11/13/2008)
(2/4/2008)
(7/18/2008)
(1/15/2008)
(1/15/2008)
(7/11/2008)
(7/11/2008)
(2/4/2008)
(6/30/2021)
(1/15/2008)
(6/7/2010)
(2/4/2008)
(2/4/2008)
(7/11/2008)
(7/11/2008)
(2/4/2008)
(7/11/2008)
(1/15/2008)
(9/15/2009)
(2/4/2008)
(4/3/2008)
(2/4/2008)
(2/4/2008)
(2/4/2008)
(2/4/2008)
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 22 — Direct Participation Programs Representative Examination
Passed Dec 1982About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1982About the Series 6 examSRO Registrations
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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).
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