Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carmelo Capella is a financial advisor associated with Merrill Lynch, Pierce, Fenner & Smith Inc. in SPRINGFIELD, MA. James Carmelo Capella has been working in the financial services industry since August 2013. James Carmelo Capella is registered with the Securities and Exchange Commission (SEC) and several states to offer investment advice. James Carmelo Capella previously worked for MORGAN STANLEY in WEST HARTFORD, CT.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
02/22/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SPRINGFIELD MA)
CT
08/02/2013 - 04/07/2015
MORGAN STANLEY (WEST HARTFORD CT)
BOTH
Issued 09/30/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/20/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/30/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/11/2020
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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