SD
Stephen Denapoli
MOORS & CABOT
BOSTON, MA 02110
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CRD#: 846008
SD
Professional summary
Stephen Denapoli, who also goes by Stephen De Napoli, is a registered financial professional currently at MOORS & CABOT, INC. located in Boston, Massachusetts.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1977. Stephen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen De Napoli
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Denapoli'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
October 24, 2014 - Present
MOORS & CABOT, INC.
Office #1: One Federal Street 19th Floor, Boston, MA 02110RIA
BD
CRD#: 594
BOSTON, MA
Past
October 5, 2009 - October 31, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
March 30, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
BOSTON, MA
Past
February 27, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
BOSTON, MA
Past
June 1, 2006 - March 13, 2009
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
BOSTON, MA
Past
August 29, 2002 - March 13, 2009
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
BOSTON, MA
Past
July 13, 2000 - September 3, 2002
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
April 2, 1992 - July 31, 2000
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
January 16, 1984 - April 7, 1992
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
September 26, 1978 - January 31, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
December 5, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(4/13/2023)
RR
Arizona(12/3/2021)
RR
California(5/27/2016)
RR
Colorado(10/24/2014)
RR
Connecticut(10/24/2014)
RR
District of Columbia(8/6/2018)
RR
Florida(10/24/2014)
RR
Georgia(7/26/2019)
RR
Hawaii(5/6/2024)
RR
Idaho(1/27/2021)
RR
Louisiana(12/16/2019)
RR
Maine(10/24/2014)
RR
Maryland(10/24/2014)
RR
Massachusetts(10/24/2014)
RR
Michigan(10/24/2014)
RR
Montana(12/3/2021)
RR
Nevada(12/3/2021)
RR
New Hampshire(10/24/2014)
RR
New Jersey(9/21/2018)
RR
New York(10/24/2014)
RR
North Carolina(10/24/2014)
RR
Oregon(12/3/2021)
RR
Pennsylvania(8/15/2016)
RR
Rhode Island(5/27/2016)
RR
South Carolina(12/3/2021)
RR
Texas(7/20/2017)
RR
Utah(5/27/2016)
RR
Vermont(12/3/2021)
RR
Virginia(12/3/2021)
RR
Washington(12/3/2021)
RR
Wisconsin(1/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/25/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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
MOORS & CABOT, INC.
CRD#: 594Boston, MA 02110TRUST BUT VERIFY
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