John C. Capolupo
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.
John Charles Capolupo, who also goes by John Cap, John Capolupo, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
October 30, 2017 - December 31, 2019
FIDELITY DISTRIBUTORS CORPORATION
October 30, 2017 - September 15, 2025
NATIONAL FINANCIAL SERVICES LLC
October 30, 2017 - September 15, 2025
FIDELITY BROKERAGE SERVICES LLC
May 12, 2016 - September 15, 2025
FIDELITY DISTRIBUTORS COMPANY LLC
February 1, 2016 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
January 24, 2005 - October 24, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
December 6, 2000 - January 25, 2005
FIDELITY DISTRIBUTORS CORPORATION
January 27, 1999 - August 20, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
January 27, 1999 - September 29, 1999
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIDELITY DISTRIBUTORS CORPORATION
CRD#: 6848 / SEC#: , 8-8775
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| BACHMAN, ROBERT FROLICH | EXECUTIVE VICE PRESIDENT | 2540486 |
| DEPIERO, MATTHEW | DIRECTOR | 6947009 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| LYONS, MICHAEL JOSEPH | CFO | 4610621 |
| MARLINSKI, JUDY ANNE | PRESIDENT/CEO/DIRECTOR | 6751775 |
| MULCAHY, TIMOTHY MICHAEL | DIRECTOR | 3083260 |
| ROTHMAN, PHILIP | CHIEF COMPLIANCE OFFICER | 4883519 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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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