Joseph Capozzi
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.
Joseph Capozzi, AIF®, who also goes by Joe Capozzi Jr, Joe Capozzi, Joseph A Capozzi, Joseph Anthony Capozzi Jr, Joseph Anthony Capozzi, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2018 - August 24, 2023
BANCWEST INVESTMENT SERVICES, INC.
June 9, 2017 - August 31, 2023
BANCWEST INVESTMENT SERVICES, INC.
May 27, 2014 - December 17, 2015
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 5, 2012 - March 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2012 - March 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 2010 - June 30, 2011
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
November 30, 2010 - June 29, 2011
LPL FINANCIAL LLC
October 14, 2009 - December 1, 2010
NRP ADVISORS, INC.
January 9, 2007 - November 30, 2010
NRP FINANCIAL, INC.
November 14, 2002 - December 31, 2006
GBS RETIREMENT SERVICES, INC.
July 20, 2001 - October 22, 2002
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
February 24, 1998 - July 9, 2001
CETERA WEALTH SERVICES, LLC
March 24, 1990 - April 2, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 20, 1988 - October 14, 1989
H.J. MEYERS & CO., 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
Current Firm
BANCWEST INVESTMENT SERVICES, INC.
CRD#: 29357 / SEC#: 801-71300, 8-44261
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO HARRIS BANK N.A. | SOLE SHAREHOLDER | |
| BIEL, ROLLIN LYNN | BWIS VICE PRESIDENT - CHIEF FINANCIAL OFFICER/PFO | 5101711 |
| DUBENDORF, DARIN KEITH | BWIS PRESIDENT/CEO - WMG HEAD OF CLIENT SOLUTIONS | 1692187 |
| HATFIELD, JOHN CALVIN | BWIS VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4272399 |
| PRUITT, JEFFREY PAUL | BWIS VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | 2455635 |
Regulatory assets under management
| Total Number of Accounts | 9,062 |
| AUM (Assets Under Management) | $ 2,024,253,748 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
