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MC

Michael J. Capizzi

VEST SECURITIES
McLean, VA 22102
Some features on this profile are disabled
CRD#: 5549520
MC

Professional summary

Michael James Capizzi is a registered financial professional currently at VEST SECURITIES, LLC located in Mclean, Virginia.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 8 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Michael James Capizzi'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®
None

Experience

Current

June 30, 2022 - Present

VEST SECURITIES, LLC

Office #1: 8350 Broad Street Suite 240, Mclean, VA 22102
BD
CRD#: 317379
McLean, VA
Past

November 3, 2017 - June 30, 2022

FIRST DOMINION CAPITAL CORP.

BD
CRD#: 16330
McLean, VA
Past

November 19, 2012 - October 30, 2017

U. S. BOSTON CAPITAL CORPORATION

BD
CRD#: 5251
LINCOLN, MA
Past

June 5, 2012 - November 6, 2012

PROSHARE ADVISORS LLC

RIA
CRD#: 134155
BETHESDA, MD
Past

June 9, 2011 - November 6, 2012

PROFUNDS DISTRIBUTORS, INC.

BD
CRD#: 19541
BETHESDA, MD
Past

December 3, 2010 - June 8, 2011

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA
CRD#: 108958
OWINGS MILLS, MD
Past

July 23, 2010 - June 8, 2011

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
OWINGS MILLS, MD
Past

August 8, 2008 - May 12, 2009

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC

State Registrations and Notice Filings

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

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
Massachusetts
(11/16/2022)
RR
Virginia
(6/30/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/23/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 1/7/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/6/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VEST SECURITIES, LLC
VEST SECURITIES, LLC

CRD#: 317379 / SEC#: , 8-70829

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
8350 Broad Street Suite 240, Mclean, VA 22101
Mailing Address
8350 Broad Street Suite 240, Mclean, VA 22101
Phone number
(855) 979-6060
Established
Delaware since 03/19/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
VEST GROUP, INC.SOLE MEMBER
BRANT, DAVID ROBERTFINOP/PFO/POO2718478
CHANG, JEFFERY YI-BINGPRESIDENT5034993
PORTWOOD, WILLIAM BOYCECHIEF COMPLIANCE OFFICER4853700
SOOD, KARANCHIEF EXECUTIVE OFFICER5256243

Red Flags

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Company Information

VEST SECURITIES, LLC

CRD#: 317379Mclean, VA 22102

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