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David Andrew Capozza

Conning Investment Products, Inc.

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About David Andrew Capozza

David Capozza is a registered representative with Conning Investment Products, Inc. David has been in the securities industry since June 2006. David is licensed to sell securities in California, Connecticut, Illinois, Massachusetts, New Jersey, New York, Texas, Virginia and Wisconsin. David has a Series 66, Series 7, Series 9, Series 10, Series 24 and SIE licenses. David previously worked at Raymond James Financial Services, Inc. and Ameriprise Financial Services, Inc.

Firm Information

David Capozza is currently registered with Conning Investment Products, Inc.. Conning Investment Products, Inc. is a corporation headquartered in HARTFORD, CT, and was formed in 2002-02-13. They specialize in portfolio management for businesses and have over $486,460,862 in regulatory assets under management, primarily from insurance companies. The firm is registered with the SEC and in nine states. They have a website, LinkedIn page, Twitter account, and YouTube channel.
Conning Investment Products, Inc.

ONE FINANCIAL PLAZA

HARTFORD, CT 06103

$486.46M

Assets Under Management

Not reported

Total Clients

27

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Capozza’s Registration & Firm History

CT

07/18/2023 - Present

Conning Investment Products, Inc. (HARTFORD CT)

CT

05/23/2007 - 08/09/2023

RAYMOND JAMES FINANCIAL SERVICES, INC. (MIDDLETOWN CT)

CT

06/05/2006 - 05/03/2007

AMERIPRISE FINANCIAL SERVICES, INC. (WOODBRIDGE CT)

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Licenses & Designations

BOTH

Issued 08/10/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/09/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/13/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 09/28/2015

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/02/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Andrew Capozza.
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