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RICHARD LOUIS CAPULLO
CRD#: 1023179
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 20 CORPORATE WOODS BLVD 2ND FL
LOUDONVILLE, NY 12211
CETERA ADVISOR NETWORKS LLCCRD#: 13572 20 CORPORATE WOODS BLVD 2ND FL
LOUDONVILLE, NY 12211
Registration History
198519901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2013 - Present (11 years)BWALNUT STREET SECURITIES, INC. (CRD# 15840)2003 - 2013 (10 years)BING FINANCIAL ADVISERS, LLC (CRD# 34815)1993 - 2006 (12 years)BNATHAN & LEWIS SECURITIES, INC. (CRD# 8503)1982 - 2003 (21 years)BAETNA LIFE INSURANCE AND ANNUI... (CRD# 13256)1983 - 1993 (10 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2017 - 2023 (5 years)IANATHAN & LEWIS SECURITIES, INC. (CRD# 8503)1997 - 2003 (5 years)
Disclosure(s)
View By:
10/24/2012
Customer Dispute
Denied
License(s)

State Registrations

B
California 6/25/2024

B
Pennsylvania 9/3/2013

B
Florida 9/3/2013

B
Rhode Island 9/3/2013

B
Maine 9/3/2013

B
South Carolina 3/14/2019

B
Massachusetts 9/3/2013

B
Texas 12/21/2017

B
New Jersey 9/3/2013

IA
Texas 6/29/2023

B
New York 9/3/2013

B
Vermont 1/2/2025

IA
New York 6/29/2023

B
Virginia 8/3/2021

B
North Carolina 9/3/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
20 CORPORATE WOODS BLVD 2ND FL, LOUDONVILLE, NY 12211
Registered with this firm since 6/29/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
20 CORPORATE WOODS BLVD 2ND FL, LOUDONVILLE, NY 12211
Registered with this firm since 9/3/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/21/2017 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
B
08/01/2003 - 09/03/2013 WALNUT STREET SECURITIES, INC. (CRD#:15840) LOUDONVILLE, NY
B
10/15/1993 - 01/05/2006 ING FINANCIAL ADVISERS, LLC (CRD#:34815) WINDSOR, CT
B
01/12/1982 - 08/01/2003 NATHAN & LEWIS SECURITIES, INC. (CRD#:8503) NEW YORK, NY
IA
09/23/1997 - 01/27/2003 NATHAN & LEWIS SECURITIES, INC. (CRD#:8503) ALBANY, NY
B
06/19/1983 - 10/15/1993 AETNA LIFE INSURANCE AND ANNUITY COMPANY (CRD#:13256) HARTFORD, CT
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.