Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claudio? Claim Your ProfileClaudio Michael Cappella is a financial professional with over 20 years of experience in the industry. Currently, Claudio is a registered representative at Clsa Americas, LLC. Claudio has held previous roles at Credit Agricole Securities (USA) Inc., ITG Inc., Schonfeld Securities, LLC, Commerzbank Capital Markets Corp., Warburg Dillon Read LLC, SBC Warburg Dillon Read Inc., SBC Warburg, Inc., and S.G. Warburg & Co. Inc. Claudio has a broad range of experience in the industry.
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.
Referrals to others; research product & arrangement and referral service
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.
Earned based on transactions or products sold.
Negotiated rates for research product
1
2
NY
02/15/2013 - Present
Clsa Americas, LLC (NEW YORK NY)
NY
08/24/2004 - 06/03/2013
CREDIT AGRICOLE SECURITIES (USA) INC. (NEW YORK NY)
NY
10/02/2003 - 07/16/2004
ITG INC. (NEW YORK NY)
NY
08/24/2001 - 11/18/2002
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
05/13/1999 - 08/21/2001
COMMERZBANK CAPITAL MARKETS CORP. (NEW YORK NY)
NY
06/29/1998 - 04/21/1999
WARBURG DILLON READ LLC (NEW YORK NY)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
06/03/1996 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
NY
12/07/1994 - 06/03/1996
S.G. WARBURG & CO. INC. (NEW YORK NY)
BC
Issued 12/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/06/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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