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CK

Charles P. Kapp

NATALLIANCE SECURITIES
Delray Beach, FL 33444
Some features on this profile are disabled
CRD#: 1432856
CK

Professional summary

Charles Patrick Kapp, who also goes by Charles Kapp, Charlie Kapp, is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Delray Beach, Florida.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1985. Charles has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Kapp | Charlie Kapp

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Patrick Kapp's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 9, 2019 - Present

NATALLIANCE SECURITIES, LLC

Office #1: 301 W. Atlantic Ave, Ste 0-8, Delray Beach, FL 33444
BD
CRD#: 39455
Delray Beach, FL
Past

September 15, 2011 - December 27, 2018

AURIGA USA, LLC

BD
CRD#: 121731
CHICAGO, IL
Past

May 13, 2010 - July 7, 2011

PIPER SANDLER & CO.

BD
CRD#: 665
CHICAGO, IL
Past

September 25, 2008 - May 12, 2010

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
PHILADELPHIA, PA
Past

November 2, 2007 - July 29, 2008

JEFFERIES LLC

BD
CRD#: 2347
CHICAGO, IL
Past

April 8, 2005 - July 3, 2007

WAMU CAPITAL CORP.

BD
CRD#: 119069
CHICAGO, IL
Past

September 21, 1999 - April 14, 2005

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

February 1, 1999 - September 21, 1999

CONNING & COMPANY

BD
CRD#: 1512
OAKBROOK TERRACE, IL
Past

July 13, 1995 - May 7, 1997

MARK TWAIN BROKERAGE SERVICES, INC.

BD
CRD#: 16925
Past

April 18, 1991 - March 31, 1994

MARK TWAIN BROKERAGE SERVICES, INC.

BD
CRD#: 16925
Past

November 20, 1985 - July 3, 1990

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(3/30/2025)
RR
Georgia
(8/20/2024)
RR
Illinois
(1/9/2019)
RR
Massachusetts
(3/30/2025)
RR
Minnesota
(1/9/2019)
RR
New York
(1/9/2019)
RR
Ohio
(4/1/2025)
RR
Texas
(3/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/15/2005
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/8/2004
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NATALLIANCE SECURITIES, LLC
NATALLIANCE INVESTMENT BANKING | SINEX SECURITIES, LLC. | NATIONAL ALLIANCE SECURITIES, LLC | NATIONAL ALLIANCE SECURITIES CORPORATION | NATIONAL ALLIANCE CAPITAL, LLC | NATALLIANCE SECURITIES, LLC | NATALLIANCE SECURITIES

CRD#: 39455 / SEC#: , 8-48723

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
3101 Bee Cave Rd Suite 800, Austin, TX 78701
Mailing Address
3101 Bee Cave Rd Suite 270, Austin, TX 78746
Phone number
(512) 609-1700
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NATALLIANCE HOLDING COMPANY LLCOWNER
ADAMS, JASONBOARD MEMBER2690575
BRENNER, ANDREW SCOTTBOARD MEMBER1227535
BUSH, FRED COSTONCFO/COO3075024
CARREON, MICHELLE ELLISCCO4861485
GIORDANO, MICHAEL JAMESBOARD MEMBER5942248
HENDRICKSON, GEORGE ALEXANDER BROWNBOARD MEMBER2382347
LIEPMAN, JOHN FRANCISBOARD MEMBER2037298
LOERCH, SAMUEL JAMESBOARD MEMBER1195328
SALTER, MARK MYLESBOARD MEMBER/CEO/PRESIDENT1180139
TAYLOR, BRADFORD STEPHENBOARD MEMBER5751455

Disclosures

Regulatory Event8

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.

Company Information

NATALLIANCE SECURITIES, LLC

CRD#: 39455Delray Beach, FL 33444

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