Individual Firm
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JOSEPH CAPPELLO SANTOMIERI
CRD#: 3106521
IA
B
STRATOS WEALTH PARTNERS, LTDCRD#: 153184 555 Veterans Blvd., Suite 100
Redwood City, CA 94063
Redwood City, CA 94063
LPL FINANCIAL LLCCRD#: 6413 555 VETERANS BLVD STE 100
REDWOOD CITY, CA 94063
REDWOOD CITY, CA 94063
0
Disclosures
26
Years of Experience
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State Registrations
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California 2/13/2024
IA
Texas 2/14/2024
IA
California 2/14/2024
SRO Registrations
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IA
Registered with this firm since 2/14/2024
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Registered with this firm since 2/13/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/02/2018 - 02/15/2024 | REDWOOD CITY, CA | |
B | 11/02/2018 - 02/15/2024 | REDWOOD CITY, CA | |
IA | 12/17/2004 - 11/02/2018 | SAN MATEO, CA | |
B | 12/07/2004 - 11/02/2018 | SAN MATEO, CA | |
IA | 10/20/2004 - 11/18/2004 | SAN JOSE, CA | |
B | 10/20/2004 - 11/18/2004 | BOSTON, MA | |
IA | 10/09/2002 - 10/20/2004 | SAN JOSE, CA | |
B | 10/09/2002 - 10/20/2004 | NEW YORK, NY | |
IA | 03/01/2002 - 10/07/2002 | SAN JOSE, CA | |
B | 08/31/1998 - 10/07/2002 | PURCHASE, NY |
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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.