Carl D. Capria
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.
Carl Daniel Capria was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1979. Carl had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2013 - January 6, 2015
OPTIONSXPRESS, INC.
November 6, 1990 - July 25, 2017
CHARLES SCHWAB & CO., INC.
August 4, 1988 - January 17, 1989
CNL, INC.
May 14, 1987 - May 24, 1988
C.A.L. INVESTMENT SERVICES INC.
March 10, 1983 - January 12, 1988
WOODBURY FINANCIAL SERVICES, INC.
March 6, 1979 - April 25, 1983
TOWER SQUARE SECURITIES, 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 1
Date: 3/1/1979
Registered Representative ExaminationSeries 8
Date: 10/4/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 1 |
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.
