Brian P. Sapone
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 Paul Sapone was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 7 firms and has passed the Series 66, Series 63, 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
July 20, 2021 - December 31, 2023
WORLD CAPITAL BROKERAGE, INC.
November 30, 2017 - July 26, 2021
AVANTAX INVESTMENT SERVICES, INC.
April 19, 2011 - August 7, 2017
PACIFIC SELECT DISTRIBUTORS, LLC
June 29, 2010 - March 17, 2011
GIRARD SECURITIES, INC.
July 23, 2009 - July 14, 2010
WADDELL & REED
July 10, 2009 - July 14, 2010
WADDELL & REED
February 3, 2005 - July 20, 2009
WELLS FARGO INVESTMENTS, LLC
August 2, 2004 - July 20, 2009
WELLS FARGO INVESTMENTS, LLC
December 3, 1998 - August 3, 2004
EDWARD JONES
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 CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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