GC
Giancarlo Capodanno
PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 6296571
GC
Professional summary
Giancarlo Capodanno, who also goes by Giancarlo Robert Capodanno, Gio Capodanno, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Red Bank, New Jersey and M HOLDINGS SECURITIES, INC. located in Red Bank, New Jersey.
Giancarlo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Giancarlo has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Giancarlo Robert Capodanno | Gio Capodanno
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.
1) Mr. Capodanno is a licensed insurance agent. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Capodanno spends approx. 10 hrs/week during trading hours on this activity. 2) Prosperity Capital Advisors; 30400 Detroit Rd, #201, Westlake OH 44145, United States; Registered Investment Advisor; Investment related; Financial Advisor; Provide wealth management solutions; 2/5/2024; 160 hours per month; 160 hours per month during trading hours. 3) One Team Financial; 331 Newman Springs Road, Blg1 Suite 107, Red Bank NJ 07701; Member Firm Affiliation; Investment related; Financial Advisor; Provide wealth management solutions; 2/5/2024; 160 hours per month; 160 hours per month during trading hours. 4) Mr. Capodanno works as a volunteer speaker for the American Financial Educational Alliance (AFEA). In this capacity, Mr. Capodanno conducts several seminars per month to help eliminate financial illiteracy as part of his marketing efforts. There are no product sales or company names mentioned at these seminars. This is not an investment-related activity. 5) Mr. Capodanno is a registered representative of M Holdings Securities, Inc., a registered broker-dealer and member of FINRA conducting business at his registered location. In such capacity, Mr. Capodanno sells securities through M Holding Securities, Inc. and receives normal and customary commissions and other types of compensation, for example, mutual fund 12b-1 fees or variable annuity trails. Mr. Capodanno spends approximately 10 hours per week on this activity during trading hours. 6) Campbell Petrie Inc; 1460 US Highway 9N Suite 200 Woodbridge, NJ 07095; Insurance Medical / Health; Not investment related; Referrals to Campbell Petrie for help with employer group benefits. 8/1/2025; 0 ho/mo.
CRS (Client Relationship Summary) - RIA
Click below to view Giancarlo Capodanno'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®
NoneExperience
Current
February 5, 2024 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 331 Newman Springs Road Bldg. 1, Suite 107, Red Bank, NJ 07701Office #2: 200 Connell Park Suite 2l8a, Berkeley Heights, NJ 07922RIA
CRD#: 156480
Red Bank, NJ
Current
February 8, 2024 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 331 Newman Springs Road, Bldg 1, Suite 107, Red Bank, NJ 07701RIA
BD
CRD#: 43285
Red Bank, NJ
Past
April 13, 2022 - February 16, 2024
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
PARAMUS, NJ
Past
March 11, 2019 - December 31, 2020
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
April 19, 2018 - April 1, 2022
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
May 4, 2016 - April 6, 2018
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
July 18, 2014 - November 24, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
FAIRFIELD, NJ
Past
June 14, 2014 - July 21, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
FAIRFIELD, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(9/25/2024)
RR
Colorado(10/14/2025)
RR
Connecticut(2/8/2024)
RR
Delaware(6/30/2025)
RR
Florida(1/6/2025)
RR
Georgia(8/6/2024)
RR
Illinois(9/18/2024)
RR
Indiana(8/6/2024)
RR
Kansas(8/6/2024)
RR
Maryland(8/18/2025)
RR
Massachusetts(2/8/2024)
RR
Minnesota(3/13/2025)
RR
Missouri(6/24/2025)
IAR
New Jersey(2/5/2024)
RR
New Jersey(2/8/2024)
RR
New York(2/8/2024)
RR
Oregon(6/3/2025)
RR
South Carolina(9/4/2025)
RR
South Dakota(7/1/2025)
IAR
Texas(4/12/2024)
RR
Utah(12/2/2024)
RR
Virginia(3/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
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.
