Michael A. Cappetto
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.
Michael Anthony Cappetto, who also goes by Mike Cappetto, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 8 firms and has passed the Series 66, Series 63 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
November 26, 2012 - December 31, 2013
WORLD INVESTMENTS, LLC
November 19, 2012 - December 31, 2013
WORLD INVESTMENTS, LLC
November 23, 2010 - March 18, 2011
MC INSTITUTIONAL INVESTMENT CONSULTING, LLC
September 16, 2004 - November 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2004 - November 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2000 - July 21, 2004
FAM DISTRIBUTORS, INC.
February 9, 2000 - September 26, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1997 - August 19, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 5, 1995 - January 1, 1997
PRUCO SECURITIES, LLC.
August 4, 1993 - December 8, 1993
BARRON CHASE SECURITIES, INC.
June 12, 1992 - August 4, 1993
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
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 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.
