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NICHOLAS CHRISTOPHER CAPPADORA
CRD#: 5469552
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 8500 ANDREW CARNEGIE BLVD.
CHARLOTTE REGIONAL
CHARLOTTE, NC 28262
CHARLOTTE REGIONAL
CHARLOTTE, NC 28262
0
Disclosures
16
Years of Experience
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State Registrations
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Connecticut 10/10/2016
B
New York 10/10/2016
B
Florida 10/10/2016
B
North Carolina 10/10/2016
B
Maine 10/10/2016
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North Carolina 10/10/2016
B
Massachusetts 10/10/2016
B
Rhode Island 10/10/2016
B
New Hampshire 10/10/2016
B
Vermont 10/10/2016
SRO Registrations
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Registered with this firm since 10/10/2016
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Registered with this firm since 10/10/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/13/2012 - 09/23/2016 | CHARLOTTE, NC | |
B | 05/12/2008 - 09/23/2016 | CHARLOTTE, NC |
CHARLOTTE, NC
05/12/2008 - 09/23/2016
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.