Steven P. Capozza
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.
Steven Paul Capozza, who also goes by Steven P Capozza, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27 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
December 7, 2017 - September 21, 2018
DIGITAL WEALTH LLC
July 27, 2016 - September 27, 2018
COINBASE SECURITIES, INC.
April 10, 2015 - September 8, 2021
COINBASE CAPITAL MARKETS CORP
August 21, 2008 - September 22, 2008
ELECTRONIC TRANSACTION CLEARING, INC.
January 17, 2003 - December 31, 2015
CAPSTONE GROUP LLC
March 26, 2001 - May 7, 2013
CAPSTONE INVESTMENTS
September 29, 2000 - December 31, 2004
BLACK MOUNTAIN ADVISORS, LLC
March 27, 1997 - April 30, 2013
CAPSTONE INVESTMENTS
November 8, 1996 - May 19, 1997
FIRST ALLIED SECURITIES, INC.
September 7, 1995 - November 19, 1996
INTERNATIONAL SECURITIES GROUP, INC.
March 12, 1994 - September 11, 1995
VANGUARD CAPITAL
December 10, 1990 - February 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
DIGITAL WEALTH LLC
CRD#: 288949 / SEC#: 801-110902
Contact information
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.
