Richard J. Capalbo
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.
Richard Joseph Capalbo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 12 firms and has passed the Series 63, SIE, Series 16, Series 000, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2014 - January 5, 2015
ICON DISTRIBUTORS, INC.
February 5, 2014 - January 5, 2015
ICON ADVISERS, INC.
January 5, 2009 - February 1, 2012
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
July 30, 2002 - February 20, 2008
ARQUE CAPITAL, LTD.
June 16, 2000 - September 16, 2002
ASCHER/DECISION SERVICES, INC.
October 21, 1993 - October 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1992 - May 19, 1993
CITIZENS JMP SECURITIES, LLC
September 5, 1991 - January 13, 1992
VAN ECK SECURITIES CORPORATION
February 17, 1988 - June 27, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 16, 1973 - August 13, 1976
DEAN WITTER & CO. INCORPORATED
September 27, 1972 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
September 25, 1972 - August 6, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
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
Series 000
Date: 9/25/1972
General Securities Principal ExaminationSeries 1
Date: 9/25/1972
Registered Representative ExaminationSeries 40
Date: 6/26/1975
Registered Principal ExaminationSeries 12
Date: 11/14/1974
NYSE Branch Manager ExaminationCurrent Firm
ICON DISTRIBUTORS, INC.
CRD#: 28568 / SEC#: , 8-43801
Contact information
Documents
Red Flags
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