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Lou Capolino

CRD# 6131367·Registered 2013 - 2018
Previously Registered: Being a previously registered professional could mean that Lou 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.

Professional Summary

Lou Capolino, who also goes by Louis Capolino, was a registered financial advisor. Lou was a previously registered financial professional and started their career in finance 2013 - 2018. Lou had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Louis Capolino

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

13 years in the financial services industry

Current & Past Employments

CAPITAL ONE ADVISORS, LLC·CRD# 136865
RIA
Montclair, NJ
January 29, 2015 - May 2, 2018
CAPITAL ONE INVESTING, LLC·CRD# 45744
BD
Fairfield, NJ
January 29, 2015 - May 2, 2018
CAPITAL ONE ADVISORS, LLC·CRD# 136865
RIA
Seattle, WA
January 28, 2015 - January 29, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC·CRD# 127236
RIA
West Caldwell, NJ
January 21, 2015 - January 28, 2015
CAPITAL ONE INVESTMENT SERVICES LLC·CRD# 25658
BD
Lodi, NJ
January 15, 2015 - January 29, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Florham Park, NJ
February 20, 2013 - July 15, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Florham Park, NJ
January 11, 2013 - July 15, 2014

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Current Firm

CO
CAPITAL ONE ADVISORS, LLC

CAPITAL ONE ADVISORS, LLC | SPARK 401K | SHAREBUILDER ADVISORS, LLC | SHAREBUILDER 401K

CRD#: 136865 / SEC#: 801-64662

Contact Information

Main Address

1750 Tysons Blvd 6th Floor, Mclean, VA 22102

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL ONE INVESTING 401K SERVICES BROCHURE 4.01.19 (3/29/2019)

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2013About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed May 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2013About the Series 7 exam

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CRS (Client Relationship Summary)

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

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