DC
David A. Capozza
CONNING INVESTMENT PRODUCTS
Hartford, CT 06103-2627
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CRD#: 5091896
DC
Professional summary
David Andrew Capozza, who also goes by David Capozza, is a registered financial advisor currently at CONNING INVESTMENT PRODUCTS, INC. located in Hartford, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Capozza
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) Name of Business: Liberty Bank Address: 315 Main St Fl 1, Middletown, CT, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: No Start Date: 06/03/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Same (2) Name of Business: Liberty Bank Investment Services Address: 315 Main St Fl 1, Middletown, CT, 06457, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 02/12/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Admin and operations
CRS (Client Relationship Summary) - RIA
Click below to view David Andrew Capozza's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Andrew Capozza's 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®
NoneExperience
Current
July 18, 2023 - Present
CONNING INVESTMENT PRODUCTS, INC.
Office #1: One Financial Plaza 755 Main Street, Hartford, CT 06103-2627RIA
BD
CRD#: 120387
Hartford, CT
Current
July 18, 2023 - Present
CONNING INVESTMENT PRODUCTS, INC.
Office #1: One Financial Plaza 755 Main Street, Hartford, CT 06103-2627RIA
BD
CRD#: 120387
Hartford, CT
Past
January 2, 2009 - August 9, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MIDDLETON, CT
Past
May 30, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
MIDDLETOWN, CT
Past
May 23, 2007 - August 9, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MIDDLETOWN, CT
Past
August 11, 2006 - May 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WOODBRIDGE, CT
Past
June 5, 2006 - May 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
WOODBRIDGE, CT
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".
CI
CONNING INVESTMENT PRODUCTS, INC.
CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
RIA
Registered Investment Advisory firm - SEC (6/5/2014 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(7/18/2023)
RR
Connecticut(7/18/2023)
IAR
Connecticut(7/18/2023)
RR
Illinois(7/18/2023)
RR
Massachusetts(7/18/2023)
RR
New Jersey(7/18/2023)
RR
New York(7/18/2023)
RR
Texas(7/18/2023)
RR
Virginia(7/18/2023)
RR
Wisconsin(7/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CONNING INVESTMENT PRODUCTS, INC.
CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
RIA
Registered Investment Advisory firm - SEC (6/5/2014 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Financial Plaza 755 Main Street, Hartford, CT 06103
Mailing Address
One Financial Plaza, Hartford, CT 06103-2627
Phone number
(860) 299-2000
Established
Delaware since 02/13/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
8
SEC notice filing (1 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONNING & COMPANY | SHAREHOLDER | |
| BRADFORD, LINWOOD EARLE JR | CHAIR BOARD OF DIRECTORS | 4179446 |
| DALY, MATTHEW KENNETH | PRESIDENT & HEAD OF SALES/ BOARD MEMBER | 2638773 |
| GEORGE, KENNETH RONALD | FINOP | 2643369 |
| LEE, JUNG WON | MANAGING DIRECTOR, CFO & COO, BOARD MEMBER | 2791334 |
| PEARCE, ROBERT STEDMAN | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 1991468 |
| SMALLEY, VI (VIOLA) R. | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | 5899872 |
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 517,711,336 |
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.
