Carl Daniel Capria
Professional Summary
Carl Daniel Capria was a registered financial advisor. Carl was a previously registered financial professional and started their career in finance 1979 - 2015. Carl had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 1 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
OEC EQUITIES | SIERRA CAPITAL, LLC | OX | OPTIONSXPRESS.COM | OPTIONSXPRESS, INC. | OPTIONSXPRESS
Contact Information
Established
Delaware since 11/13/2000Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
30Arbitration
3Bond
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Mar 1979Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1995Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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