Ernest D. Kappotis

BMI CAPITAL INTERNATIONAL LLC

New York, NY 10017

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CRD#: 4871251

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 and WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC. located in Shelton, Connecticut.

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"?

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

CRD#: 154670

New York, NY

Current

April 25, 2017 - Present

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

Office #1: 2 Corporate Drive Suite 770, Shelton, CT 06484

CRD#: 13645

Shelton, CT

Current

December 5, 2022 - Present

SGI SECURITIES LLC

Office #1: 7 Penn Plaza Suite 1400, New York, NY 10001

CRD#: 155643

New York, NY

Current

December 13, 2022 - Present

QUINBROOK CAPITAL PARTNERS LLC

Office #1: 75 Rockefeller Plaza Suite 24a, New York, NY 10019

CRD#: 313779

New York, NY

Current

January 8, 2025 - Present

XT CAPITAL PARTNERS, LLC

CRD#: 118719

SOUTHPORT, CT

Current

July 7, 2025 - Present

VIENNA CAPITAL PARTNERS LLC

Office #1: 40 Wall Street 17th Fl, New York, NY 10005

CRD#: 311852

New York, NY

Past

July 22, 2022 - July 24, 2025

USCA SECURITIES LLC

CRD#: 103789

HOUSTON, TX

Past

August 24, 2020 - February 2, 2021

CURTIS POINT CAPITAL

CRD#: 307399

WESTON, MA

Past

October 8, 2019 - August 17, 2021

LAKERIDGE CAPITAL INC.

CRD#: 25005

ONTARIO,

Past

July 22, 2019 - October 6, 2020

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

MINOT, ND

Past

March 7, 2019 - May 4, 2021

EASTGATE SECURITIES, LLC

CRD#: 146671

NEW YORK, NY

Past

January 19, 2019 - November 2, 2020

CBC SECURITIES, INC.

CRD#: 46153

NEWTON, MA

Past

July 16, 2018 - February 22, 2019

DETWILER FENTON & CO.

CRD#: 1794

BOSTON, MA

Past

May 22, 2017 - October 5, 2017

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

MINOT, ND

Past

April 10, 2017 - August 15, 2017

NEWCASTLE DISTRIBUTORS LLC

CRD#: 140096

AVON, CT

Past

March 29, 2017 - March 31, 2022

USTOCKTRADE SECURITIES, INC.

CRD#: 16208

NEWTON, MA

Past

March 3, 2016 - June 15, 2016

WCA SECURITIES, LLC

CRD#: 281176

PALO ALTO, CA

Past

November 20, 2015 - July 29, 2016

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

LOUISVILLE, KY

Past

August 14, 2015 - March 22, 2016

W G SECURITIES, LLC

CRD#: 140869

WOODBRIDGE, 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.

CRD#: 1794

BOSTON, MA

Past

August 24, 2006 - April 13, 2007

NYLIFE SECURITIES LLC

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.

CRD#: 30613

LYNNFIELD, MA

State Registrations and Notice Filings

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

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

Connecticut
(6/6/2017)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/19/2007

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

VIENNA CAPITAL PARTNERS LLC

CRD#: 311852 / SEC#: , 8-70631

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

40 Wall Street 17th Fl, New York, NY 10005

Mailing Address

40 Wall Street 17th Fl, New York, NY 10005

Phone number

(856) 319-2784

Established

Delaware since 11/06/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TOMASA ANTONIA HOLDINGS LLC	DIRECT OWNER
DEFILIPPO, VINCENT JAMES	CCO	2792048
KAPPOTIS, ERNEST DOMENIC	FINOP

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

Ernest D. Kappotis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ernest Domenic Kappotis's CRS (Customer Relationship Summary).

Certified licenses

Experience

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

SGI SECURITIES LLC

QUINBROOK CAPITAL PARTNERS LLC

XT CAPITAL PARTNERS, LLC

VIENNA CAPITAL PARTNERS LLC

USCA SECURITIES LLC

CURTIS POINT CAPITAL

LAKERIDGE CAPITAL INC.

CAPITAL FINANCIAL SERVICES, INC.

EASTGATE SECURITIES, LLC

CBC SECURITIES, INC.

DETWILER FENTON & CO.

CAPITAL FINANCIAL SERVICES, INC.

NEWCASTLE DISTRIBUTORS LLC

USTOCKTRADE SECURITIES, INC.

WCA SECURITIES, LLC

PRIVATE CLIENT SERVICES, LLC

W G SECURITIES, LLC

DETWILER FENTON & CO.

DETWILER FENTON & CO.

NYLIFE SECURITIES LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/15/2005

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/3/2005

Series 27

Date: 7/19/2007

FINRA

Current Firm

VIENNA CAPITAL PARTNERS LLC

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

VIENNA CAPITAL PARTNERS LLC

TRUST BUT VERIFY

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