Martha A. D'apice
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.
Martha Ann D'apice, who also goes by Martie D'apice, Martha Ann Dapice, was a registered financial professional .
Martha is a previously registered financial professional and started their career in finance in 1989. Martha had worked at 7 firms and has passed the Series 63, SIE, Series 3 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
July 8, 2014 - February 20, 2015
CAPFI PARTNERS LLC
September 20, 2013 - December 14, 2017
MERCURY CAPITAL ADVISORS, LLC
January 27, 2012 - September 19, 2013
WEILD & CO.
December 13, 2010 - January 5, 2012
WJB CAPITAL GROUP, INC.
August 2, 2010 - December 1, 2010
CAPFI PARTNERS LLC
July 23, 2004 - July 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 1995 - July 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 1992 - May 14, 1993
SALOMON BROTHERS INC.
November 22, 1989 - March 25, 1992
UBS FINANCIAL 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
Current Firm
CAPFI PARTNERS LLC
CRD#: 113795 / SEC#: , 8-53406
Contact information
Disclosures
| Regulatory Event | 3 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| New York | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
| Virginia | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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