MC
Michael M. Capuano
SETTANNI FINANCIAL LLC
ARMONK, NY 10504
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CRD#: 7464833
MC
Professional summary
Michael Martin Capuano, who also goes by Michael Capuano, is a registered financial advisor currently at SETTANNI FINANCIAL LLC located in Armonk, New York.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Michael has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Capuano
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. Michael Capuano is dually registered with Sutton Place Investors LLC d/b/a Settanni Financial LLC and Purshe Kaplan Sterling Investment, Inc. ("PKS"). Mr. Capuano has served as an investment advisor representative for Settanni Financial and a registered representative with PKS since 05/01/2023. Business is conducted from 67 Holly Hill Lane, 202D, Greenwich, CT, 06830. Approximately 90% of Mr. Capuano's time is for services as an investment advisor representative and the balance as a registered representative. 2. Fixed Insurance. Investment Related. At registered location. Independent Insurance Agency. Fixed/traditional insurance. Agent. 4/2023. 40 hours/month with 40 during trading hours. Provide insurance advice based on the needs of clients. 3. PKSF. Investment Related. At registered location. Independent Insurance Agency. Fixed/traditional insurance. Agent. 4/2023. 40 hours/month with 40 during trading hours. Provide insurance advice based on the needs of clients.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Martin Capuano'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
May 4, 2023 - Present
SETTANNI FINANCIAL LLC
Office #1: 84 Business Park Drive Suite 302, Armonk, NY 10504RIA
CRD#: 298989
ARMONK, NY
Past
May 1, 2023 - July 1, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Katonah, NY
Past
April 21, 2022 - May 9, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
White Plains, NY
Past
January 11, 2022 - May 9, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
White Plains, 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".
SF
SETTANNI FINANCIAL LLC
SETTANNI FINANCIAL LLC | SUTTON PLACE INVESTORS LLC
CRD#: 298989 / SEC#: 801-114219
RIA
Registered Investment Advisory firm - (11/1/2018 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.Highlighted states indicate IAR registrations
IAR
Connecticut(5/4/2023)
IAR
New York(5/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/11/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
SF
SETTANNI FINANCIAL LLC
SETTANNI FINANCIAL LLC | SUTTON PLACE INVESTORS LLC
CRD#: 298989 / SEC#: 801-114219
RIA
Registered Investment Advisory firm - (11/1/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
84 Business Park Drive Suite 302, Armonk, NY 10504
Mailing Address
Phone number
(914) 767-0974
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 417 |
| AUM (Assets Under Management) | $ 336,786,863 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 09/20/2023 | ||
| 07/29/2022 |
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.
