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Detailed Report
DAVID JOHN MELILLI
CRD#: 5254172
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
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
200820102012201420162018202020222 FIRMS2007 - 2007 (<1 year)IACAPSTONE FINANCIAL LLC (CRD# 308007)2021 - 2021 (<1 year)IACAPSTONE FINANCIAL LLC (CRD# 308007)2020 - 2020 (<1 year)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2019 - 2020 (<1 year)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2010 - 2019 (9 years)IALPL FINANCIAL LLC (CRD# 6413)2018 - 2018 (<1 year)IACAPSTONE FINANCIAL (CRD# 150331)2009 - 2010 (<1 year)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2010 - 2010 (<1 year)IAJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2008 - 2008 (<1 year)
Disclosure(s)
View By:
11/28/2022
Regulatory
Final
7/12/2022
Regulatory
Final
11/8/2021
Regulatory
Final
9/8/2020
Customer Dispute
Settled
9/4/2020
Customer Dispute
Denied
2/19/2020
Customer Dispute
Settled
1/23/2020
Employment Separation After Allegations
5/16/2019
Financial
Final
Previous Registration(s)
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 01/25/2021 - 12/31/2021 CAPSTONE FINANCIAL LLC (CRD#:308007) MOORESTOWN, NJ
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 07/16/2020 - 12/31/2020 CAPSTONE FINANCIAL LLC (CRD#:308007) Moorestown, NJ
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 10/09/2019 - 02/04/2020 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) Moorestown, NJ
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 01/27/2010 - 08/21/2019 SAGEPOINT FINANCIAL, INC. (CRD#:133763) MOORESTOWN, NJ
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 07/12/2018 - 07/31/2018 LPL FINANCIAL LLC (CRD#:6413) MOORESTOWN, NJ
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 05/18/2009 - 03/25/2010 CAPSTONE FINANCIAL (CRD#:150331) MOORESTOWN, NJ
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 01/20/2010 - 01/20/2010 SAGEPOINT FINANCIAL, INC. (CRD#:133763) MOORESTOWN, NJ
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 03/27/2008 - 12/16/2008 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) PHILADELPHIA, PA
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 06/04/2007 - 12/11/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) VOORHEES, NJ
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 03/09/2007 - 04/30/2007 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) CHERRY HILL, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
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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
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.