Michael A. Capul
Professional summary
Michael Andrew Capul was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Michael had worked at 4 firms, which includes FISHER INVESTMENTS, CHASE INVESTMENT SERVICES CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2004 - April 12, 2005
FISHER INVESTMENTS
March 6, 1997 - August 11, 2003
CHASE INVESTMENT SERVICES CORP.
May 10, 1995 - August 11, 2003
CHASE INVESTMENT SERVICES CORP.
July 13, 1990 - May 9, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1990 - July 25, 1990
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
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