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CC

Christopher J. Capozzalo

Some features on this profile are disabled
CRD#: 4464924
CC

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.

Christopher James Capozzalo was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 6 firms and has passed the Series 63, Series 66, Series 82TO, Series 99TO, Series 79TO, SIE, Series 7 and Series 31 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 23, 2015 - September 2, 2025

OAKPOINT SOLUTIONS, LLC

BD
CRD#: 171775
Tampa, FL
Past

April 16, 2012 - January 28, 2015

FRONTIER SOLUTIONS, LLC

BD
CRD#: 136102
TAMPA, FL
Past

November 18, 2009 - October 3, 2011

WEISS MULTI-STRATEGY FUNDS LLC

BD
CRD#: 130991
NEW YORK, NY
Past

March 9, 2007 - October 29, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 10, 2006 - October 17, 2006

AMARANTH SECURITIES L.L.C.

BD
CRD#: 42887
GREENWICH, CT
Past

May 28, 2002 - November 22, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
RIDGEWOOD, NJ
Past

October 25, 2001 - November 22, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/6/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/29/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 12/19/2001
Futures Managed Funds Examination

Current Firm

OS
OAKPOINT SOLUTIONS, LLC
OAKPOINT SOLUTIONS, LLC

CRD#: 171775 / SEC#: , 8-69477

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
100 South Ashley Drive Suite 1130, Tampa, FL 33602
Mailing Address
100 South Ashley Drive Suite 1130, Tampa, FL 33602
Phone number
(212) 588-6440
Established
Florida since 01/13/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CKT LLCMANAGING MEMBER
COUGHLIN, GERARD JAMESCEO1792909
DRUTAU, MAYA ARTEMOVNAPRINCIPAL FINANCIAL OFFICER4580500
DRUTAU, MAYA ARTEMOVNAFINOP4580500
MILLER, DANIEL WILLIAMCHIEF COMPLIANCE OFFICER5790837

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.

Company Information

OAKPOINT SOLUTIONS, LLC

CRD#: 171775

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