Alexander L. Cappello
Professional summary
Alexander Lee Cappello, who also goes by Cappello Alex, Alex Cappello, Alexander Cappello, is a registered financial professional currently at CAMDEN FINANCIAL SERVICES located in Los Angeles, California.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 1998. Alexander has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexander Lee Cappello's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2017 - Present
CAMDEN FINANCIAL SERVICES
Office #1: 10990 Wilshire Boulevard Suite 1200, Los Angeles, CA 90024April 4, 2014 - September 5, 2017
SGMA CAPITAL MARKETS LIMITED
June 11, 1998 - April 23, 2014
CAPPELLO CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/10/2017)
(8/10/2017)
(8/10/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CAMDEN FINANCIAL SERVICES
CRD#: 19925 / SEC#: , 8-37303
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UCCIFERRI, LOUIE | PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, AML-CO | 1156956 |
Red Flags
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