Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Capurso is an investment advisor representative with Wealthpenn.comllc. Richard has been in the securities industry since 2002. Richard has licenses in 53 states and the District of Columbia. Previously, Richard was a registered representative with E*TRADE Securities LLC, Wells Fargo Clearing Services, LLC, PNC Investments, PFS Investments Inc., G-Bar Limited Partnership, OptionsXpress, Inc., Esposito Securities, LLC, VDM Trading, LLC, VDM Capital Markets, LLC, Goldman Sachs Execution & Clearing, L.P., SLK Index Specialists, LLC, Spear, Leeds & Kellogg, L.P., and Spear, Leeds & Kellogg Specialists LLC. Richard has passed Series 7, 24, 25, 55, 63 and 65 exams. Richard's areas of specialization include asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, portfolio management for individuals, and portfolio management for investment companies.
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
GA
10/02/2023 - Present
Wealthpenn.comllc (Alpharetta GA)
GA
02/24/2022 - 09/05/2023
E*TRADE SECURITIES LLC (ALPHARETTA GA)
GA
04/19/2017 - 01/26/2022
WELLS FARGO CLEARING SERVICES, LLC (MARIETTA GA)
GA
01/18/2013 - 03/22/2017
PNC INVESTMENTS (SUWANEE GA)
IL
04/09/2012 - 12/31/2012
PFS INVESTMENTS INC. (WILLOW BROOK IL)
IL
08/15/2011 - 02/08/2012
G-BAR LIMITED PARTNERSHIP (CHICAGO IL)
IL
08/14/2009 - 11/01/2011
OPTIONSXPRESS, INC. (CHICAGO IL)
IL
05/02/2008 - 08/27/2008
ESPOSITO SECURITIES, LLC (CHICAGO IL)
NY
01/31/2008 - 04/07/2008
VDM TRADING, LLC (NEW YORK NY)
NY
03/12/2007 - 04/03/2008
VDM CAPITAL MARKETS, LLC (NEW YORK NY)
NY
01/18/2007 - 03/09/2007
VDM TRADING, LLC (NEW YORK NY)
NY
01/11/2006 - 07/05/2006
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
NY
02/26/2002 - 07/05/2006
SLK INDEX SPECIALISTS, LLC (NEW YORK NY)
NY
03/13/2000 - 08/25/2004
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
NY
10/01/2000 - 02/26/2002
SPEAR, LEEDS & KELLOGG SPECIALISTS LLC (NEW YORK NY)
IA
Issued 3/22/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/16/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/28/2008
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/22/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 3/10/2000
Series 7 - General Securities Representative Examination
BC
Issued 1/27/2000
Series 21 - NYSE Front Line Specialist Clerk
BC
Issued 9/14/1999
Series 25 - NYSE Trading Assistant Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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