Randy C. Capizzi
Professional summary
Randy Christopher Capizzi is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Melville, New York.
Randy is registered as a RR (Registered Representative) and started their career in finance in 2003. Randy has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randy Christopher Capizzi's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 425 Broadhollow Rd. Suite 325, Melville, NY 11747March 1, 2021 - January 22, 2024
GREENBIRD CAPITAL LLC
September 23, 2015 - March 4, 2021
NATIONAL SECURITIES CORPORATION
June 24, 2014 - September 15, 2015
SECURITIES AMERICA, INC.
July 26, 2013 - July 1, 2014
DALTON STRATEGIC INVESTMENT SERVICES INC.
August 11, 2011 - August 2, 2013
IAA FINANCIAL LLC
August 4, 2011 - August 12, 2011
AEGIS CAPITAL CORP.
August 26, 2010 - August 3, 2011
AVALON PARTNERS, INC.
August 14, 2006 - August 24, 2010
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
June 16, 2006 - August 3, 2006
J.W. COLE FINANCIAL, INC.
May 12, 2004 - June 20, 2006
J.P. TURNER & COMPANY, L.L.C.
November 6, 2003 - April 28, 2004
AMERICAN CAPITAL PARTNERS, LLC
September 3, 2003 - November 7, 2003
EMMETT A LARKIN COMPANY, INC.
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
