John Battista Napoleone | Financial Professional

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.

John Battista Napoleone, who also goes by John Napoleone, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2002. John had worked at 16 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

John Napoleone

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.

1)- LEEDOM STREET CAPITAL, LLC; 147 DEACON DRIVE, EAGLEVILLE, PA 19403; REAL ESTATE LLC/OWNER COMMERCIAL PROPERTY; SOLE PROPRIETOR; COLLECT RENT, PERFORM BASIC LANDLORD DUTIES ON FEW OCCASIONS; 1 HOUR PER WEEK DURING NON-TRADING HOURS. 2) REALTA INVESTMENT ADVISORS, INC.; WILMINGTON, DE; INVESTMENT ADVISORY SERVICES, INVESTMENT ADVISOR REPRESENTATIVE; WWW.REALTAWEALTH.COM; COMPENSATION IN THE FOR OF FEES; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS. 3) MUSIC/ENTERTAINMENT DJ SERVICES, PERFORM MUSIC; $275 TO $350 PER EVENT; 0-4 HOURS PER WEEK DURING NON-TRADING HOURS. 4) MADISON CAPITAL GROUP, LLC; 147 DEACON DRIVE, EAGLEVILLE, PA 19403; REAL ESTATE PRIVATE EQUITY FIRM; MARKETING OF DST'S; ANNUAL SALARY AND BONUS STRUCTURE; 50-75 HOURS PER WEEK DURING NORMAL TRADING HOURS.

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

December 6, 2022 - April 30, 2025

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

EAGLEVILLE, PA

Past

December 5, 2022 - October 31, 2025

REALTA EQUITIES, INC.

BD

CRD#: 23769

WILMINGTON, DE

Past

February 10, 2022 - November 18, 2022

EMERSON EQUITY LLC

RIA

CRD#: 130032

Eagleville, PA

Past

February 8, 2022 - November 18, 2022

EMERSON EQUITY LLC

BD

CRD#: 130032

SAN MATEO, CA

Past

October 19, 2020 - February 10, 2022

SKYWAY CAPITAL MARKETS, LLC

BD

CRD#: 124630

TAMPA, FL

Past

February 4, 2020 - September 16, 2020

CABOT LODGE SECURITIES LLC

BD

CRD#: 159712

Conchohocken, PA

Past

September 7, 2018 - January 6, 2020

SELECT CAPITAL CORPORATION

BD

CRD#: 145997

SAN JUAN CAPISTRANO, CA

Past

July 11, 2017 - July 17, 2017

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

SAN RAFAEL, CA

Past

March 31, 2016 - March 2, 2017

S2K FINANCIAL LLC

BD

CRD#: 248786

ORLANDO, FL

Past

May 15, 2009 - December 9, 2015

REALTY CAPITAL SECURITIES, LLC

BD

CRD#: 145454

NEW YORK CITY, NY

Past

November 3, 2008 - April 28, 2009

FMG DISTRIBUTORS, INC.

BD

CRD#: 29243

NEW CANAAN, CT

Past

November 7, 2006 - July 30, 2007

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD

CRD#: 8326

HARTFORD, CT

Past

March 22, 2006 - November 14, 2006

CCO CAPITAL, LLC

BD

CRD#: 31147

PHOENIX, AZ

Past

September 23, 2005 - March 8, 2006

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

September 22, 2005 - March 8, 2006

NYLIFE DISTRIBUTORS LLC

BD

CRD#: 35350

NEW YORK, NY

Past

March 18, 2004 - August 30, 2005

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD

CRD#: 37886

WINDSOR, CT

Past

December 6, 2002 - December 8, 2003

MORGAN STANLEY DW INC.

BD

CRD#: 7556

PURCHASE, 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".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 1/23/2003

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 1/6/2003

Uniform Securities Agent State Law 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 31

Date: 4/26/2003

Futures Managed Funds Examination

General Industry/Product Exam

RR

Series 7

Date: 12/5/2002

General Securities Representative Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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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Advisor Monitoring

Firm Stability Insights

John B. Napoleone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA EQUITIES, INC.

EMERSON EQUITY LLC

EMERSON EQUITY LLC

SKYWAY CAPITAL MARKETS, LLC

CABOT LODGE SECURITIES LLC

SELECT CAPITAL CORPORATION

FREEDOM INVESTMENT MANAGEMENT, INC.

S2K FINANCIAL LLC

REALTY CAPITAL SECURITIES, LLC

FMG DISTRIBUTORS, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CCO CAPITAL, LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2003

Series 63

Date: 1/6/2003

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 4/26/2003

Series 7

Date: 12/5/2002

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

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