Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex Caprio is a financial professional with over 11 years of experience in the financial services industry. Alex is currently registered with Alliance-ONE Investments, LLC and holds the Series 6, Series 63 and SIE licenses. Alex has previously worked for Transamerica Capital, Inc., Santander Securities LLC and J.P. Morgan Securities LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
OK
10/23/2023 - Present
Alliance-ONE Investments, LLC (Tulsa OK)
CO
01/27/2021 - 09/25/2023
TRANSAMERICA CAPITAL, INC. (DENVER CO)
NJ
09/18/2018 - 01/20/2021
SANTANDER SECURITIES LLC (LIVINGSTON NJ)
NJ
10/01/2012 - 09/12/2018
J.P. MORGAN SECURITIES LLC (RIVERDALE NJ)
NJ
02/14/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (RIVERDALE NJ)
BC
Issued 02/20/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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