Jerry Caporale
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.
Jerry Caporale was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1988. Jerry had worked at 19 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2021 - July 14, 2021
UNIVEST SECURITIES, LLC
September 13, 2016 - April 12, 2019
GARDEN STATE SECURITIES, INC.
July 24, 2012 - August 8, 2016
NEWPORT COAST SECURITIES, INC.
August 18, 2011 - February 22, 2012
NATIONAL SECURITIES CORPORATION
September 21, 2009 - January 20, 2011
WESTPARK CAPITAL, INC.
June 29, 2007 - December 31, 2008
WEDBUSH SECURITIES INC.
May 4, 2007 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
November 8, 2006 - April 11, 2007
US EURO SECURITIES, INC
September 19, 2006 - October 25, 2006
NEWBRIDGE SECURITIES CORPORATION
March 2, 2006 - September 18, 2006
J.P. TURNER & COMPANY, L.L.C.
August 5, 2005 - March 1, 2006
SALOMON GREY FINANCIAL CORPORATION
February 4, 2004 - August 1, 2005
NATIONAL SECURITIES CORPORATION
September 27, 2002 - February 23, 2004
AMERIPRISE ADVISOR SERVICES, INC.
January 4, 1999 - September 29, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 2, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
April 6, 1994 - December 15, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - April 20, 1994
CITIGROUP GLOBAL MARKETS INC.
April 1, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
August 3, 1988 - April 2, 1991
MORGAN STANLEY DW INC.
May 25, 1988 - July 6, 1988
FIRST MONTAUK SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UNIVEST SECURITIES, LLC
CRD#: 36105 / SEC#: , 8-47006
Contact information
FINRA licenses (26 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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