Andrew W. Capaccio

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

New York, NY 10010

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CRD#: 4073271

Professional summary

Andrew William Capaccio is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in New York, New York and NYLIFE DISTRIBUTORS LLC located in New York, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Andrew has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

KAGER HOLDINGS LLC 340 SARA WELLS TRAIL GOSHEN, NY 10924. NOT INVESTMENT RELATED; SINCE 3/27/2015. REAL ESTATE, VICE PRESIDENT. ADVICE AND GUIDANCE ON DECISION MAKING REGARDING PURCHASE OF PROPERTY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew William Capaccio's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 24, 2011 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Office #1: 51 Madison Avenue, New York, NY 10010

RIA

CRD#: 109591

New York, NY

Current

May 19, 2006 - Present

NYLIFE DISTRIBUTORS LLC

Office #1: 51 Madison Avenue, New York, NY 10010

CRD#: 35350

New York, NY

Past

October 6, 2010 - May 24, 2011

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

NEW YORK, NY

Past

May 12, 2006 - October 6, 2010

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

January 5, 2004 - January 10, 2005

AVATAR ASSOCIATES

RIA

CRD#: 127498

NEW YORK, NY

Past

July 29, 2003 - October 4, 2004

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

March 24, 2000 - June 25, 2003

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(4/28/2008)

New York
(5/19/2006)

IAR

New York
(10/28/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/9/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/23/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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.

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Firm Stability Insights

Andrew W. Capaccio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew William Capaccio's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

EAGLE STRATEGIES LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

AVATAR ASSOCIATES

QUASAR DISTRIBUTORS, LLC

BLACKROCK INVESTMENTS, LLC

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2004

Series 63

Date: 6/7/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2010

Series 6

Date: 3/23/2000

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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