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RC

Royalty Caparaotta

Some features on this profile are disabled
CRD#: 7607656
RC

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.

Royalty Caparaotta, who also goes by Brittney Nicole Bogan, Brittney Bogan, Brittney Nicole Leggett, was a registered financial professional .

Royalty is a previously registered financial professional and started their career in finance in 2022. Royalty had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brittney Nicole Bogan | Brittney Bogan | Brittney Nicole Leggett

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.
III Consulting Type of business: Business Consulting Detroit, MI Start date: 10/1/2015 Owner Hours per week: 1 Hours during trading: 0 Company is not yet profitable. Company offers foundational and organizational business structure advise to small minority owned businesses that can't afford business advisory services on topics like, appropriate business filings for state compliance, company culture building and marketing strategy. Royal Records LLC Type of business: Media and Content Creation Detroit, MI Start date: 2/14/2017 Owner Hours per week: 5 Hours during trading: 0 Company is not yet profitable. Company creates content such as music, self help learning and learning content for parents of children experiencing autism for social media and e-learning platforms.

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

May 2, 2024 - May 28, 2024

STIRLINGSHIRE INVESTMENTS

RIA
CRD#: 327779
Woodland Hills, CA
Past

May 2, 2024 - May 28, 2024

STIRLINGSHIRE INVESTMENTS

BD
CRD#: 310576
NEW YORK CITY, NY
Past

November 11, 2022 - January 9, 2024

EDWARD JONES

RIA
CRD#: 250
LOS ANGELES, CA
Past

October 12, 2022 - January 9, 2024

EDWARD JONES

BD
CRD#: 250
LOS ANGELES, CA

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".
SI
STIRLINGSHIRE INVESTMENTS
STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA
Registered Investment Advisory firm - (9/7/2023 Approved)

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
RR
IAR
Series 66
Date: 11/9/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/11/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2022
Securities Industry Essentials Examination

Current Firm

SI
STIRLINGSHIRE INVESTMENTS
STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA
Registered Investment Advisory firm - (9/7/2023 Approved)
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Contact information

Main Address
15 W 38th St. #704, New York, NY 10018
Mailing Address
Phone number
(877) 600-7026
Established
Firm type
Fiscal year end
# of Employees
29

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STIRLINGSHIRE ADV PART 2 (10/22/2025)

Regulatory assets under management

Total Number of Accounts1,135
AUM (Assets Under Management)$ 179,802,588

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

STIRLINGSHIRE INVESTMENTS

CRD#: 327779

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