RS
Richard A. Sapio
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CRD#: 2091535
RS
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 Andrew Sapio, who also goes by Rick Sapio, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 82TO, SIE, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Sapio
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Mutual Capital Alliance Inc., not investment-related, 700 N. Pearl Street, Suite 900, Dallas, TX 75210. The nature is a private investment holding company. My position is President and shareholder. The start date was June 1, 1994. Hours per month is 100 hours. I devote approximately 80 hours/month during trading hours. I manage the business's day-to-day operations as President. Astoria Ventures LLC, not investment-related, 3824 Cedar Springs Road, Suite 461, Dallas, TX 75219. The nature is a family holding company. My position is Member. The start date is June 2017. The approximate number of hours I devote is 2 hours per month and zero during trading hours. I manage the simple accounting in the business. USA Mutuals Advisors, Inc. ("USAM")., 700 N Pearl Ste 900, Dallas TX. USMA is an SEC Registered Investment Advisor. USAM is 100% owned by Mutual Capital Alliance, Inc. ("MCA"). Mr. Sapio spends 2 to 5 hours per week in his role as Chairman of USAM. This is investment related. The start date was March 1994. Mutual Capital Partners, LP ("MCP"). MCP is a venture fund company based in Cleveland, OH. MCA is a small shareholder of MCP, less than 5% ownership. Mr. Sapio is an unpaid advisor and does not devote time during market hours. CEO- Coaching International. Mr. Sapio is an unpaid advisor and does not spend any time during market hours. This is not investment related. Business Finishing School LLC ("BFS") is an entity which is 100% owned by Mutual Capital Alliance, Inc. It is located at 700 N Peral Street, STE 900 in Dallas Texas. ("MCA"). Richard A. Sapio ("RAS") is a member of BFS. Richard Sapio spends 5 hours per month in this role. This is not investment related. This activity started in 2009.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 21, 2024 - December 18, 2024
QUINT CAPITAL CORPORATION
BD
CRD#: 26586
NEW YORK, NY
Past
December 18, 2021 - February 4, 2025
USA MUTUALS ADVISORS, INC.
RIA
CRD#: 131750
DALLAS, TX
Past
March 31, 2003 - March 12, 2004
MTT FUNDCORP, INC.
BD
CRD#: 124879
DALLAS, TX
Past
March 31, 2003 - March 12, 2004
CONNELY DOWD MANAGEMENT, INC.
BD
CRD#: 124903
DALLAS, TX
Past
August 8, 1994 - March 12, 2004
MUTUALS.COM, INC.
BD
CRD#: 36525
DALLAS, TX
Past
March 3, 1994 - August 27, 1994
COASTAL SECURITIES, INC.
BD
CRD#: 27834
HOUSTON, TX
Past
June 12, 1992 - March 9, 1994
BARRE & COMPANY, INCORPORATED
BD
CRD#: 8342
DALLAS, TX
Past
August 28, 1990 - June 30, 1992
APS FINANCIAL CORPORATION
BD
CRD#: 10033
AUSTIN, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 12/5/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 8/17/2021
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave - 361w, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-5090
Established
Florida since 05/28/1989
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16
SEC notice filing (7 States and Territories)
FINRA licenses (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73 |
| AUM (Assets Under Management) | $ 147,573,714 |
Disclosures
| Regulatory Event | 1 |
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.
