Nicholas J. Cappello

Some features on this profile are disabled

CRD#: 733229

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.

Nicholas Joseph Cappello, who also goes by Nicholas Joseph Cappello Mr, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1981. Nicholas had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas Joseph Cappello Mr

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)

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

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

Past

September 17, 2010 - May 31, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ROSEMONT, PA

Past

September 9, 2010 - December 31, 2021

CAPPELLO WEALTH MANAGEMENT, LLC

RIA

CRD#: 155000

NEWTOWN SQUARE, PA

Past

September 18, 2009 - June 15, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

NEWTOWN SQUARE, PA

Past

September 18, 2009 - June 15, 2010

LPL FINANCIAL LLC

CRD#: 6413

NEWTOWN SQUARE, PA

Past

March 31, 2006 - September 23, 2009

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

PHILADELPHIA, PA

Past

August 16, 2005 - September 23, 2009

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

February 7, 2000 - September 9, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 22, 1994 - February 7, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 24, 1989 - August 26, 1994

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

August 13, 1982 - May 8, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

Past

June 23, 1981 - August 10, 1982

MOSELEY SECURITIES CORPORATION

CRD#: 7908

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/3/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas J. Cappello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPPELLO WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

JANNEY MONTGOMERY SCOTT LLC

MORGAN STANLEY DW INC.

MOSELEY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2002

Series 63

Date: 7/1/1981

Series 7

Date: 6/20/1981

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

Similar Advisors