Richard Joseph Capalbo
Professional Summary
Richard Joseph Capalbo was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1972 - 2015. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
ICON DISTRIBUTORS, INC. | MERIDIAN CLEARING CORP.
Contact Information
Established
Colorado since 05/03/1991Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 000 — General Securities Principal Examination
Passed Sep 1972Series 1 — Registered Representative Examination
Passed Sep 1972Series 40 — Registered Principal Examination
Passed Jun 1975Series 12 — NYSE Branch Manager Examination
Passed Nov 1974Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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