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RICHARD ANDREW SAPIO
RICK SAPIO
CRD#: 2091535
IA
Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200420062008201020122014201620182020202220242026IAUSA MUTUALS ADVISORS, INC. (CRD# 131750)2021 - 2025 (3 years)
Disclosure(s)
View By:
9/26/2007
Regulatory
Final
3/12/2004
Employment Separation After Allegations
3/12/2004
Employment Separation After Allegations
3/12/2004
Employment Separation After Allegations
3/12/2004
Criminal
Final Disposition
Previous Registration(s)
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IA
12/18/2021 - 02/04/2025 USA MUTUALS ADVISORS, INC. (CRD#:131750) DALLAS, TX
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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.