Brian J. Kapp
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.
Brian Joseph Kapp was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1996. Brian had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2009 - May 6, 2016
KAPP/SCANLON FINANCIAL GROUP, LLC
August 30, 2002 - June 3, 2009
UBS FINANCIAL SERVICES INC.
July 24, 1996 - September 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 1996 - June 11, 1996
FORESIDE DISTRIBUTION SERVICES, L.P.
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
KAPP/SCANLON FINANCIAL GROUP, LLC
CRD#: 149730 / SEC#: 801-70117
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.
