Lou Capolino
Professional summary
Being a previously registered professional could mean that this person 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.
Lou Capolino, who also goes by Louis Capolino, was a registered financial professional .
Lou is a previously registered financial professional and started their career in finance in 2013. Lou had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2015 - May 2, 2018
CAPITAL ONE ADVISORS, LLC
January 29, 2015 - May 2, 2018
CAPITAL ONE INVESTING, LLC
January 28, 2015 - January 29, 2015
CAPITAL ONE ADVISORS, LLC
January 21, 2015 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
January 15, 2015 - January 29, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
February 20, 2013 - July 15, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2013 - July 15, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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