Patrick John Kapur
Professional Summary
Patrick John Kapur is a registered financial advisor currently at PHILPOTT BALL & WERNER, LLC located in Salem, New Hampshire. Patrick is registered as a RR (Registered Representative) and started their career in finance in 2022. Patrick has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
4 years in the financial services industry
Current & Past Employments
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Current Firm
PHILPOTT BALL & WERNER BD, LLC | PHILPOTT BALL & WERNER, LLC
Contact Information
Main Address
13777 Ballantyne Corporate Place Suite 225, Charlotte, NC 28277Mailing Address
13777 Ballantyne Corporate Place Suite 225, Charlotte, NC 28277Phone Number
(704) 358-8094Established
Delaware since 12/13/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (12 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PHILPOTT BALL & WERNER, INC. | MANAGING MEMBER | — |
| BERRY, NICHOLAS WAYNE | MANAGER | — |
| VITTOR, GREG TODD | CFO/ FINOP | 1864219 |
| WERNER, EDWARD L | CEO/ CCO/ MANAGER | — |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/17/2022)
(3/19/2024)
(10/17/2022)
(1/2/2026)
(1/3/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jul 2022About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Patrick John Kapur's CRS (Customer Relationship Summary).
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