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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Joseph Caracappa is a financial advisor registered with Morgan Stanley in Shrewsbury, NJ. John has been in the industry since 1992 and is licensed to provide investment advice in 32 states and to conduct securities transactions in 32 states and the District of Columbia. John specializes in providing financial planning, portfolio management and other advisory services for high-net-worth individuals, institutions, and corporations. John has previously worked for Citigroup Global Markets, UBS Financial Services, Gruntal & Co., L.L.C., and Smith Barney. John is licensed to provide investment advice for a range of financial products including stocks, bonds, mutual funds, and options. John is a member of the Financial Industry Regulatory Authority (FINRA) and holds a Series 7, Series 31, Series 63, and Series 65 license.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
02/19/2020 - Present
Morgan Stanley (Shrewsbury NJ)
NJ
10/26/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHREWSBURY NJ)
NJ
10/19/1998 - 11/14/2007
UBS FINANCIAL SERVICES INC. (MANALAPAN NJ)
NY
12/05/1995 - 10/23/1998
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
07/31/1993 - 11/27/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
12/04/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 08/15/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 11/30/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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