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JAMES EDWARD CAPRA
CRD#: 2436078
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 245 SUMMER STREET, V2A
BOSTON, MA 02210
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 109 UNIVERSITY AVE STE 107
WESTWOOD, MA 02090-2306
Registration History
1995200020052010201520202025IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)1995 - Present (29 years)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)1994 - 1995 (<1 year)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1994 - 1994 (<1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)1998 - 2018 (20 years)
Disclosure(s)
View By:
2/27/2017
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 3/4/2022

B
New York 9/28/2004

B
California 1/23/2001

B
North Carolina 10/17/2023

B
Connecticut 2/13/2001

B
Oklahoma 4/10/2024

B
Florida 5/26/1995

B
Pennsylvania 4/23/2020

B
Georgia 2/12/2021

B
Rhode Island 5/26/1995

B
Hawaii 9/13/2017

B
South Carolina 5/20/2024

B
Maine 7/9/2024

B
Tennessee 8/21/2024

B
Maryland 11/17/2009

B
Texas 5/31/2011

B
Massachusetts 5/26/1995

IA
Texas 7/13/2018

IA
Massachusetts 7/13/2018

B
Vermont 5/31/2011

B
New Hampshire 1/3/1996

B
Virginia 3/25/2023

B
New Jersey 5/12/2021

B
Washington 11/17/2020

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
245 SUMMER STREET, V2A, BOSTON, MA 02210
Registered with this firm since 7/13/2018

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
109 UNIVERSITY AVE STE 107, WESTWOOD, MA 02090-2306
NATICK, MA
Registered with this firm since 5/26/1995

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/30/1998 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) WESTWOOD, MA
B
07/27/1994 - 05/26/1995 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
B
01/07/1994 - 07/22/1994 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784) SMITHFIELD, RI
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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.