Charles Patrick Kapp
Professional Summary
Charles Patrick Kapp, who also goes by Charles Kapp, Charlie Kapp, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles Kapp, Charlie Kapp
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
NATALLIANCE INVESTMENT BANKING | SINEX SECURITIES, LLC. | NATIONAL ALLIANCE SECURITIES, LLC | NATIONAL ALLIANCE SECURITIES CORPORATION | NATIONAL ALLIANCE CAPITAL, LLC | NATALLIANCE SECURITIES, LLC | NATALLIANCE SECURITIES
Contact Information
Main Address
3101 Bee Cave Rd Suite 800, Austin, TX 78701Mailing Address
3101 Bee Cave Rd Suite 270, Austin, TX 78746Phone Number
(512) 609-1700Established
Delaware since 12/31/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | — |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/30/2025)
(8/20/2024)
(1/9/2019)
(3/30/2025)
(1/9/2019)
(1/9/2019)
(4/1/2025)
(3/30/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2005About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2004About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charles Patrick Kapp's CRS (Customer Relationship Summary).
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