Michael J. Cappadona
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.
Michael Joseph Cappadona, who also goes by Michael Cappadona, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2024. Michael had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2024 - December 18, 2025
MONTIS FINANCIAL, LLC
Primary Firm SEC Registration
MONTIS FINANCIAL, LLC
CRD#: 163986 / SEC#: 801-76534
State Registrations and Notice Filings
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Exams
Current Firm
MONTIS FINANCIAL, LLC
CRD#: 163986 / SEC#: 801-76534
Contact information
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,937 |
| AUM (Assets Under Management) | $ 1,012,415,189 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 12/17/2024 | ||
| 03/15/2024 | ||
| 01/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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