Denise A. Kappel
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.
Denise Ann Kappel, who also goes by Denise A Kappel, Denise Kappel, Denise Ann VIdmar, Denise Vidmar, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1995. Denise had worked at 18 firms and has passed the Series 63, Series 65, 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
March 23, 2021 - December 17, 2021
MERIT SECURITIES, LLC
October 22, 2018 - July 8, 2019
JDF CAPITAL ADVISORS, LLC
November 18, 2016 - December 31, 2017
PATRICK CAPITAL MARKETS, LLC
February 29, 2012 - January 22, 2013
AUGMENT SECURITIES INC.
January 26, 2012 - December 31, 2014
KINGSBURY, LLC
December 22, 2011 - January 30, 2012
PFS INVESTMENTS INC.
December 6, 2011 - January 30, 2012
PFS INVESTMENTS INC.
March 24, 2009 - November 4, 2009
JDF CAPITAL ADVISORS, LLC
July 14, 2008 - April 8, 2009
INSIGHT SECURITIES, INC.
May 5, 2008 - June 16, 2008
RAINMAKER SECURITIES, LLC
October 8, 2007 - June 26, 2008
BREWER FINANCIAL SERVICES, LLC
March 9, 2006 - March 27, 2007
CHICAGO INVESTMENT GROUP, LLC
September 16, 2005 - April 6, 2006
ADVANCED EQUITIES, INC.
September 16, 2005 - April 6, 2006
ADVANCED EQUITIES, INC.
July 6, 2005 - July 11, 2005
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - July 11, 2005
CHASE INVESTMENT SERVICES CORP.
April 5, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 1, 2001 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 16, 2000 - March 8, 2001
BEMOS INVESTMENT ADVISORS, L.L.C.
February 16, 1998 - February 16, 2000
ROBERT W. BAIRD & CO. INCORPORATED
October 1, 1996 - January 13, 1998
GOLDMAN SACHS & CO. LLC
June 26, 1996 - October 1, 1996
GOLDMAN SACHS MONEY MARKETS, L.P.
November 8, 1995 - April 15, 1996
UBS SECURITIES LLC
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
MERIT SECURITIES, LLC
CRD#: 165470 / SEC#: , 8-69162
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
