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Michael P. Capolongo

Some features on this profile are disabled
CRD#: 5702165
MC

Professional summary

Michael Philip Capolongo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Michael had worked at 9 firms, which includes NETWORK 1 FINANCIAL SECURITIES INC., WORDEN CAPITAL MANAGEMENT LLC, LAIDLAW & COMPANY (UK) LTD., FIRST STANDARD FINANCIAL COMPANY LLC, ROCKWELL GLOBAL CAPITAL LLC, EKN FINANCIAL SERVICES INC., NATIONAL SECURITIES CORPORATION, BROOKVILLE CAPITAL PARTNERS, JOHN THOMAS FINANCIAL.

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 17, 2020 - March 31, 2022

NETWORK 1 FINANCIAL SECURITIES INC.

BD
CRD#: 13577
Hauppauge, NY
Past

May 30, 2019 - September 17, 2020

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
GARDEN CITY, NY
Past

April 27, 2018 - June 6, 2019

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
MELVILLE, NY
Past

September 22, 2016 - May 8, 2018

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
Melville, NY
Past

October 26, 2015 - September 19, 2016

FIRST STANDARD FINANCIAL COMPANY LLC

BD
CRD#: 168340
Garden City, NY
Past

September 2, 2014 - October 16, 2015

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

October 2, 2012 - September 23, 2014

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
MELVILLE, NY
Past

September 5, 2012 - October 12, 2012

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

July 23, 2010 - October 28, 2010

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
HUNTINGTON, NY
Past

March 3, 2010 - April 6, 2010

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
WOODBURY, NY
Past

February 2, 2010 - February 23, 2010

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
MELVILLE, NY
Past

December 24, 2009 - January 25, 2010

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

September 18, 2009 - December 24, 2009

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
WOODBURY, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/2009
General Securities Representative Examination

Current Firm

N1
NETWORK 1 FINANCIAL SECURITIES INC.
ASSET PLANNING & DEVELOPMENT, INC. | STOCKAMERICA, INCORPORATED | NETWORK 1 FINANCIAL SECURITIES INC. | NETWORK 1 FINANCIAL SECURITIES

CRD#: 13577 / SEC#: , 8-29471

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

Main Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Mailing Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Phone number
(732) 758-9001
Established
Texas since 03/15/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NETWORK 1 FINANCIAL GROUP, INC.( ISSI)SHAREHOLDER
ARTICLE THIRD TR UWO RICHARD W. HUNT FBO MADISON HUNTSHAREHOLDER
BRUNO, VINCENT MICHAELCHIEF COMPLIANCE OFFICER1845833
HUNT, WILLIAM RICHARD JRDIRECTOR, PRESIDENT, COO & FINOP, TRUSTEE830575
TESTAVERDE, DAMON DOMENICVICE PRESIDENT444453

Disclosures

Regulatory Event21
Arbitration4

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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Company Information

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

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