AD
Anthony Dicapua
FOCUSED WEALTH MANAGEMENT
Newburgh, NY 12550-1911
Some features on this profile are disabled
CRD#: 6774954
AD
Professional summary
Anthony Dicapua is a registered financial advisor currently at FOCUSED WEALTH MANAGEMENT, INC. located in Newburgh, New York and OSAIC WEALTH, INC. located in Newburgh, New York.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Anthony has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
***NYS Life & Health Insurance Position: Insurance Sales Nature: NYS Life and Health Insurance Investment Related: Yes Hours: 2 Securities Trading Hours: 2 Start Date: 03/26/2018 Address: 11 BALMVILLE RD, NEWBURGH, STE 2 NORTH NY 12550 ***FOCUSED WEALTH MANAGEMENT, INC. POSITION: Advisory NATURE: Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 03/26/2018 ADDRESS: 11 Balmville Road Suite 2 North, Newburgh NY 12550 DESCRIPTION: All Permissible Activities ***SUNY ORANGE FOUNDATION BOARD OF DIRECTOR POSITION: Board Member NATURE: Board of Directors Member - SUNY Orange Foundation INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/23/2023 ADDRESS: 1156 South Street, Middletown NY 10940 DESCRIPTION: As a member of the Board I will attend meetings every other month and discuss the appropriation of funds in support of SUNY Orange and its students. ***BARDAVON BOARD OF DIRECTOR POSITION: Board of Director NATURE: Bardavon Board of Director INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 35 Market Street, Poughkeepsie NY 12601 DESCRIPTION: Review and report on the operations of the Bardavon ***SUNY FOUNDATION - INVESTMENT COMMITTEE MEMBER POSITION: Committee Member NATURE: Board of Directors - Investment Commitee Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 1156 South Street, Middletown NY 10940 DESCRIPTION: As a member of the Committee, I will attend meetings every other month and discuss the restricted and non-restricted assets of the Foundation to ensure they align with the ongoing mission of the Foundation ***SUNY FOUNDATION - EXECUTIVE COMMITTEE MEMBER POSITION: Officer at Large - Committee Member NATURE: Board of Directors - Executive Committee Officer at Large INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 1156 South Street, Middletown NY 10940 DESCRIPTION: As a member of the Executive Committee, I will attend monthly meetings and discuss the operations of the Foundation, the College and students in which it supports, and discuss how best to carry-on the mission of the Foundation. ***EXECUTIVE/FINANCE COMMITEE MEMBER - BARDAVON OPERA HOUSE POSITION: Executive/Finance Committee Member NATURE: Executive/Finance Committee Member - Bardavon Opera House Board of Directors INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2023 ADDRESS: 35 market Street, Poughkeepsie NY 12601 DESCRIPTION: As a member of the Executive/Finance Committee, we will meet once per month to review the operations of the Opera House, ensure mission alignment, and review and analyze financial statements.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Dicapua'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
November 13, 2019 - Present
FOCUSED WEALTH MANAGEMENT, INC.
Office #1: 11 Balmville Rd. Suite 2 North, Newburgh, NY 12550-1911RIA
CRD#: 154828
Newburgh, NY
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 11 Balmville Rd Ste 2 North, Newburgh, NY 12550RIA
BD
CRD#: 23131
NEWBURGH, NY
Past
April 10, 2018 - November 13, 2019
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
HIGHLAND, NY
Past
April 4, 2018 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
NEWBURGH, NY
Past
June 2, 2017 - March 9, 2018
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Montgomery, NY
Past
April 5, 2017 - March 9, 2018
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Montgomery, NY
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".
FW
FOCUSED WEALTH MANAGEMENT, INC.
FOCUSED WEALTH MANAGEMENT, INC.
CRD#: 154828 / SEC#: 801-71860
RIA
Registered Investment Advisory firm - (11/5/2010 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(6/14/2024)
RR
Colorado(9/17/2024)
RR
Florida(6/14/2024)
RR
Georgia(6/14/2024)
RR
Hawaii(6/14/2024)
RR
Indiana(6/14/2024)
RR
Maryland(6/14/2024)
RR
Massachusetts(6/14/2024)
RR
New Jersey(6/14/2024)
IAR
New York(10/12/2021)
RR
New York(6/14/2024)
RR
North Carolina(6/14/2024)
RR
Pennsylvania(6/14/2024)
RR
South Carolina(6/14/2024)
RR
Texas(6/14/2024)
RR
Virginia(6/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FW
FOCUSED WEALTH MANAGEMENT, INC.
FOCUSED WEALTH MANAGEMENT, INC.
CRD#: 154828 / SEC#: 801-71860
RIA
Registered Investment Advisory firm - (11/5/2010 Approved)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
11 Balmville Rd. Suite 2 North, Newburgh, NY 12550-1911
Mailing Address
Phone number
(845) 691-4035
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,215 |
| AUM (Assets Under Management) | $ 1,890,919,902 |
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.
Company Information
FOCUSED WEALTH MANAGEMENT, INC.
CRD#: 154828Newburgh, NY 12550-1911TRUST BUT VERIFY
Monitor Anthony Dicapua
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
