Richard F. Caparelli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Francis Caparelli, who also goes by Rich Caparelli, Rick Caparelli, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1988. Richard had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 22, Series 62, Series 6, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2005 - November 22, 2013
ASSET & FINANCIAL PLANNING, LTD
April 3, 2000 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
February 21, 1996 - September 28, 1998
JOSEPHTHAL & CO., INC.
March 18, 1992 - March 1, 1996
PRIME CAPITAL SERVICES, INC.
March 6, 1990 - March 30, 1992
WOODBURY FINANCIAL SERVICES, INC.
March 10, 1988 - February 6, 1990
FIRST COMMAND BROKERAGE SERVICES, 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
Exams
Series 62
Date: 3/16/1992
Corporate Securities Limited Representative ExaminationSeries 8
Date: 5/8/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ASSET & FINANCIAL PLANNING, LTD
CRD#: 110709 / SEC#: 801-20784
Contact information
Red Flags
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