Rick Capozzi
Professional summary
Rick Capozzi, who also goes by Ricardo Capozzi, Riccardo Capozzi, Rick Cappozzi, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Franklin Lakes, New Jersey.
Rick is registered as a RR (Registered Representative) and started their career in finance in 1983. Rick has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rick Capozzi's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 14, 2016 - May 15, 2023
LPL FINANCIAL LLC
February 28, 2013 - May 6, 2014
TD PRIVATE CLIENT WEALTH LLC
June 1, 2009 - January 7, 2011
MORGAN STANLEY
September 14, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 15, 2005 - July 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2004 - July 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - March 10, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 4, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 31, 2002 - June 12, 2002
UBS FINANCIAL SERVICES INC.
October 1, 1984 - June 12, 2002
UBS FINANCIAL SERVICES INC.
January 6, 1984 - September 27, 1984
CITIGROUP GLOBAL MARKETS INC.
August 23, 1983 - January 4, 1984
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/7/2024)
Exams
Series 8
Date: 8/27/1991
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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