Steven A. Capozzo
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.
Steven Anthony Capozzo, who also goes by Steve Capozzo, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1975. Steven had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 1988 - May 19, 1989
SMITH-THOMAS INVESTMENT SERVICES, INC.
January 11, 1988 - June 27, 1988
FIRST AMERICA EQUITIES CORP.
June 17, 1987 - September 30, 1987
LPL FINANCIAL LLC
April 1, 1986 - June 24, 1987
BWS, INC.
July 12, 1985 - April 1, 1986
BIRR, WILSON & CO., INC.
September 20, 1982 - January 30, 1984
E. F. HUTTON & COMPANY INC
June 22, 1982 - July 13, 1990
MORGAN STANLEY DW INC.
June 5, 1981 - February 2, 1982
MORGAN STANLEY DW INC.
January 31, 1980 - December 10, 1983
UBS FINANCIAL SERVICES INC.
September 16, 1975 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 27, 1975 - September 30, 1975
INTERNATIONAL SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SMITH-THOMAS INVESTMENT SERVICES, INC.
CRD#: 21481 / SEC#: , 8-38953
Contact information
Documents
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.
