Individual Firm
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ALBERT CAPPELLINO
CRD#: 2426709
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 410 MOTOR PARKWAY
2ND FLOOR
HAUPPAUGE, NY 11788
2ND FLOOR
HAUPPAUGE, NY 11788
View By:
3/23/2006
Customer Dispute
Settled
State Registrations
B
Arizona 10/16/2024
B
New Jersey 10/10/2024
B
California 10/10/2024
B
New York 10/9/2024
B
Colorado 10/10/2024
IA
New York 10/9/2024
B
Connecticut 10/10/2024
B
Ohio 10/10/2024
B
Florida 10/10/2024
B
Pennsylvania 10/10/2024
B
Georgia 10/10/2024
B
Texas 10/10/2024
B
Indiana 10/10/2024
B
Virginia 10/10/2024
B
Iowa 10/11/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/9/2024
B
Registered with this firm since 10/9/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/19/2021 - 10/07/2024 | MELVILLE, NY | |
B | 12/11/2001 - 10/07/2024 | MELVILLE, NY | |
B | 03/14/2001 - 12/21/2001 | NEWARK, DE | |
B | 01/26/1994 - 03/20/2001 | NEW YORK, NY | |
B | 01/26/1994 - 01/05/2000 | NEW YORK, NY |
NEW YORK, NY
01/26/1994 - 01/05/2000
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.