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JS

Jacob P. Sapia

ARKADIOS CAPITAL
Farmington, CT 06032
Some features on this profile are disabled
CRD#: 7120554
JS

Professional summary

Jacob Paul Sapia, who also goes by Jacob P Sapia, Jacob Sapia, is a registered financial professional currently at ARKADIOS CAPITAL located in Farmington, Connecticut.

Jacob is registered as a RR (Registered Representative) and started their career in finance in 2020. Jacob has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jacob P Sapia | Jacob Sapia

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) - BD

Click below to view Jacob Paul Sapia's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 12, 2024 - Present

ARKADIOS CAPITAL

Office #1: 10 Talcott Notch Rd Suite 103, Farmington, CT 06032
BD
CRD#: 282710
Farmington, CT
Past

August 28, 2024 - November 18, 2024

OSAIC WEALTH, INC.

BD
CRD#: 23131
Farmington, CT
Past

February 10, 2021 - July 31, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Tolland, CT
Past

November 9, 2020 - July 31, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Tolland, CT

State Registrations and Notice Filings

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

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
Connecticut
(11/18/2024)
RR
Florida
(11/12/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/9/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/21/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ARKADIOS CAPITAL
ARKADIOS CAPITAL | MSY SECURITIES, LLC | ARKADIOS CAPITAL, LLC

CRD#: 282710 / SEC#: , 8-69729

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

Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Phone number
(404) 445-0035
Established
Georgia since 11/23/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
ARKADIOS HOLDINGS, INC.OWNER
HARRISON, JOHN DORWARDEXECUTIVE DIRECTOR2361768
MCCOMB, MAX MICHAELEXECUTIVE DIRECTOR1347500
MILLER, NATALIE LANEFINOP, POO, PFO5627988
MILLICAN, DAVID YANCEY IVCEO2788060
SCHWARTZ, GARY STEVENCHIEF COMPLIANCE OFFICER2691699

Disclosures

Regulatory Event1

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

ARKADIOS CAPITAL

CRD#: 282710Farmington, CT 06032

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