Michael A. Cappa
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 Anthony Cappa, who also goes by Michael A Cappa, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 20 firms and has passed the Series 63, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2011 - July 30, 2012
B. RILEY WEALTH MANAGEMENT
October 16, 2008 - September 21, 2011
TEJAS SECURITIES GROUP, INC.
July 5, 2006 - October 2, 2008
GUGGENHEIM SECURITIES, LLC
January 19, 2005 - April 25, 2006
RBC CAPITAL MARKETS, LLC
January 6, 2003 - January 18, 2005
MORGAN JOSEPH TRIARTISAN LLC
January 2, 2002 - January 2, 2003
LIBRA SECURITIES, LLC
February 7, 2001 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
July 8, 1997 - November 29, 2000
UBS FINANCIAL SERVICES INC.
October 14, 1996 - May 30, 1997
CIBC WORLD MARKETS CORP.
October 11, 1995 - September 18, 1996
NATWEST SECURITIES CORPORATION
April 28, 1992 - October 6, 1995
NATWEST INTERNATIONAL SECURITIES INC.
August 8, 1991 - April 29, 1992
CONTINENTAL BROKER-DEALER CORP.
May 6, 1991 - March 6, 1992
IDS LIFE INSURANCE COMPANY
May 6, 1991 - March 6, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
January 22, 1990 - November 15, 1990
SDI CAPITAL MARKETS, INC.
February 2, 1989 - February 13, 1990
KIDDER, PEABODY & CO. INCORPORATED
July 25, 1987 - August 24, 1988
BNY SECURITIES, INC.
April 4, 1985 - June 24, 1985
KENNEY & BRANISEL MUNICIPALS, INC.
February 14, 1980 - December 19, 1984
MOORE & SCHLEY, CAMERON & CO.
November 1, 1978 - March 2, 1980
E. F. HUTTON & COMPANY INC
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
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
