Paul J. Cappelli
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.
Paul James Cappelli was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2006. Paul had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2018 - August 9, 2019
GALAXY DIGITAL PARTNERS LLC
September 26, 2017 - May 17, 2018
SEA OTTER SECURITIES GROUP LLC
January 8, 2016 - September 27, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
July 31, 2014 - December 1, 2015
OPPENHEIMER & CO. INC.
July 11, 2013 - July 28, 2014
STERNE, AGEE & LEACH, INC.
June 27, 2006 - July 15, 2013
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GALAXY DIGITAL PARTNERS LLC
CRD#: 289605 / SEC#: , 8-70001
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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