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ROBERT C CAPUANO
ROB CAPUANO
CRD#: 2912361
IA
B
LPL FINANCIAL LLCCRD#: 6413 4115 WEST CYPRESS ST.
TAMPA, FL 33607
TAMPA, FL 33607
0
Disclosures
27
Years of Experience
View By:
State Registrations
B
Connecticut 12/20/2022
B
New York 12/8/2022
B
Florida 12/8/2022
B
North Carolina 4/24/2024
IA
Florida 12/9/2022
IA
Texas 12/21/2022
B
Indiana 12/8/2022
B
Texas 4/13/2023
SRO Registrations
B
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IA
Registered with this firm since 12/9/2022
B
Registered with this firm since 12/8/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/26/2019 - 12/08/2022 | Tampa, FL | |
IA | 10/20/2005 - 12/08/2022 | TAMPA, FL | |
B | 09/26/2005 - 12/08/2022 | TAMPA, FL | |
B | 05/01/2000 - 09/26/2005 | CARPINTERIA, CA | |
B | 07/17/1997 - 05/15/2000 | CINCINNATI, OH |
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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.