John R. Capozzola
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Robert Capozzola, who also goes by John Robert Capozolla, John Robert Capozzolla, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 24, Series 9, Series 10 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2009 - March 15, 2019
MERCER ALLIED COMPANY, L.P.
November 15, 2005 - August 18, 2015
GOLDMAN SACHS & CO. LLC
September 26, 1996 - December 2, 2005
MERCER ALLIED COMPANY, L.P.
February 27, 1990 - August 19, 1996
C. L. KING & ASSOCIATES, INC.
December 14, 1988 - February 24, 1989
THOMSON MCKINNON SECURITIES INC.
August 25, 1988 - November 3, 1988
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERCER ALLIED COMPANY, L.P.
CRD#: 37404 / SEC#: , 8-47739
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDMAN SACHS WEALTH SERVICES, L.P. | SOLE LIMITED PARTNER | 106693 |
| GS AYCO HOLDING LLC | GENERAL PARTNER | |
| HALL, LARIK MARSHALL | PRESIDENT | 2634322 |
| KINOWSKI, KYLE T | VICE PRESIDENT | 4277862 |
| LUKS, SHELLEY M | VP & CHIEF FINANCIAL OFFICER | 6004389 |
| NASS, JEREMY PAUL | VP & CHIEF OPERATIONS OFFICER | 4244509 |
| RYAN, DIANA ELIZABETH | VP & CHIEF COMPLIANCE OFFICER | 2780148 |
| VOLSKY, MELISSA C | VICE PRESIDENT | 4648752 |
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.
