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EK

Ernest D. Kappotis

BMI CAPITAL INTERNATIONAL
New York, NY 10017
Some features on this profile are disabled
CRD#: 4871251
EK

Professional summary

Ernest Domenic Kappotis, who also goes by Ernest D Kappotis, Ernie D Kappotis, is a registered financial advisor currently at BMI CAPITAL INTERNATIONAL LLC located in New York, New York.

Ernest is registered as a RR (Registered Representative) and started their career in finance in 2005. Ernest has worked at 20 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ernest D Kappotis | Ernie D Kappotis

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) - BD

Click below to view Ernest Domenic Kappotis'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

March 23, 2016 - Present

BMI CAPITAL INTERNATIONAL LLC

Office #1: 747 Third Avenue 2nd Fl, New York, NY 10017
BD
CRD#: 154670
New York, NY
Past

July 7, 2025 - April 2, 2026

VIENNA CAPITAL PARTNERS LLC

BD
CRD#: 311852
NEW YORK, NY
Past

January 8, 2025 - April 9, 2026

XT CAPITAL PARTNERS, LLC

BD
CRD#: 118719
SOUTHPORT, CT
Past

December 13, 2022 - April 3, 2026

QUINBROOK CAPITAL PARTNERS LLC

BD
CRD#: 313779
NEW YORK, NY
Past

December 5, 2022 - April 3, 2026

SGI SECURITIES LLC

BD
CRD#: 155643
NEW YORK, NY
Past

July 22, 2022 - July 24, 2025

USCA SECURITIES LLC

BD
CRD#: 103789
HOUSTON, TX
Past

August 24, 2020 - February 2, 2021

CURTIS POINT CAPITAL

BD
CRD#: 307399
WESTON, MA
Past

October 8, 2019 - August 17, 2021

LAKERIDGE CAPITAL INC.

BD
CRD#: 25005
ONTARIO,
Past

July 22, 2019 - October 6, 2020

CAPITAL FINANCIAL SERVICES, INC.

BD
CRD#: 8408
MINOT, ND
Past

March 7, 2019 - May 4, 2021

EASTGATE SECURITIES, LLC

BD
CRD#: 146671
NEW YORK, NY
Past

January 19, 2019 - November 2, 2020

CBC SECURITIES, INC.

BD
CRD#: 46153
NEWTON, MA
Past

July 16, 2018 - February 22, 2019

DETWILER FENTON & CO.

BD
CRD#: 1794
BOSTON, MA
Past

May 22, 2017 - October 5, 2017

CAPITAL FINANCIAL SERVICES, INC.

BD
CRD#: 8408
MINOT, ND
Past

April 25, 2017 - April 3, 2026

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

BD
CRD#: 13645
SHELTON, CT
Past

April 10, 2017 - August 15, 2017

NEWCASTLE DISTRIBUTORS LLC

BD
CRD#: 140096
AVON, CT
Past

March 29, 2017 - March 31, 2022

USTOCKTRADE SECURITIES, INC.

BD
CRD#: 16208
NEWTON, MA
Past

March 3, 2016 - June 15, 2016

WCA SECURITIES, LLC

BD
CRD#: 281176
PALO ALTO, CA
Past

November 20, 2015 - July 29, 2016

PRIVATE CLIENT SERVICES, LLC

BD
CRD#: 120222
LOUISVILLE, KY
Past

August 14, 2015 - March 22, 2016

W G SECURITIES, LLC

BD
CRD#: 140869
WEST HARTFORD, CT
Past

April 23, 2007 - December 8, 2010

DETWILER FENTON & CO.

RIA
CRD#: 1794
BOSTON, MA
Past

April 12, 2007 - May 2, 2011

DETWILER FENTON & CO.

BD
CRD#: 1794
BOSTON, MA
Past

August 24, 2006 - April 13, 2007

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WALTHAM, MA
Past

July 29, 2005 - July 25, 2006

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
LYNNFIELD, MA
Past

June 6, 2005 - July 25, 2006

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA

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
IAR
Series 66
Date: 7/15/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/3/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/19/2007
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BMI CAPITAL INTERNATIONAL LLC
BMI CAPITAL INTERNATIONAL LLC | PRETIOSA METALLA LLC | MORRIS ENERGY ADVISORS, INC.

CRD#: 154670 / SEC#: , 8-68658

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
535 5th Avenue 22nd Floor, New York, NY 10017
Mailing Address
3172 31st St 6c, Astoria, NY 11106
Phone number
(212) 390-1725
Established
Texas since 06/15/2012
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (8 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#
BMI FINANCIAL GROUP INCMEMBER
DSS SECURITIESMEMBER
KAPPOTIS, ERNEST DOMENICFINOP / CFO4871251
TRAPP, ROBERT HERMANCEO / CCO2246323

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

BMI CAPITAL INTERNATIONAL LLC

CRD#: 154670New York, NY 10017

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