Michael J. Capizzi

VEST SECURITIES

Mclean, VA 22101

Some features on this profile are disabled

CRD#: 5549520

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"?

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 22101

CRD#: 317379

Mclean, VA

Past

November 3, 2017 - June 30, 2022

FIRST DOMINION CAPITAL CORP.

CRD#: 16330

McLean, VA

Past

November 19, 2012 - October 30, 2017

U. S. BOSTON CAPITAL CORPORATION

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.

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.

CRD#: 8348

OWINGS MILLS, MD

Past

August 8, 2008 - May 12, 2009

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

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

Massachusetts
(11/16/2022)

Virginia
(6/30/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/23/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/25/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/7/2022

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/6/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VEST SECURITIES, LLC

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

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (19 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
VEST GROUP, INC.	SOLE MEMBER
BRANT, DAVID ROBERT	FINOP/PFO/POO	2718478
CHANG, JEFFERY YI-BING	PRESIDENT	5034993
PORTWOOD, WILLIAM BOYCE	CHIEF COMPLIANCE OFFICER	4853700
SOOD, KARAN	CHIEF EXECUTIVE OFFICER	5256243

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.

Similar Advisors

Raylonte Roach

EAGLE STRATEGIES LLC

IAR

BETHESDA, MD

Matthew Halverson

MORGAN STANLEY

IAR

Washington, DC

Erin Caines

EAGLE STRATEGIES LLC

IAR

DERWOOD, MD

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Capizzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael James Capizzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST DOMINION CAPITAL CORP.

U. S. BOSTON CAPITAL CORPORATION

PROSHARE ADVISORS LLC

PROFUNDS DISTRIBUTORS, INC.

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

EQUITABLE DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/23/2010

Series 63

Date: 7/25/2008

Series 3

Date: 1/7/2022

SIE

Date: 10/1/2018

Series 7

Date: 9/13/2010

Series 6

Date: 8/6/2008

FINRA

Current Firm

VEST SECURITIES, LLC

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

VEST SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors