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Rick Capozzi

Cambridge Investment Research, Inc.

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About Rick Capozzi

Rick Capozzi is a financial advisor with Cambridge Investment Research, Inc., located in Phoenix, AZ. Rick has been in the financial industry for over 35 years and holds a Series 7, 3, 8, 63, and 65 license. Rick has previously worked for a number of prominent firms, including LPL Financial LLC, TD Private Client Wealth LLC, Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Securities, LLC, Prudential Securities Incorporated, UBS Paine Webber Inc., Smith Barney, Harris Upham & Co., Incorporated, and Blinder, Robinson & Co.,INC..

Firm Information

Rick Capozzi is currently registered with Cambridge Investment Research, Inc.. Cambridge Investment Research, Inc. is a corporation formed in October 1995. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

658

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.

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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Rick Capozzi’s Registration & Firm History

AZ

04/26/2024 - Present

Cambridge Investment Research, Inc. (Phoenix AZ)

NJ

06/14/2016 - 05/15/2023

LPL FINANCIAL LLC (PARAMUS NJ)

NY

02/28/2013 - 05/06/2014

TD PRIVATE CLIENT WEALTH LLC (NEW YORK NY)

NY

06/01/2009 - 01/07/2011

MORGAN STANLEY SMITH BARNEY (PURCHASE NY)

NY

09/14/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)

NY

02/17/2004 - 07/23/2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

MO

07/01/2003 - 03/10/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

06/04/2002 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

10/01/1984 - 06/12/2002

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

NA

01/06/1984 - 09/27/1984

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

NA

08/23/1983 - 01/04/1984

BLINDER, ROBINSON & CO.,INC.

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Licenses & Designations

IA

Issued 11/23/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/28/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/27/1991

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/2001

Series 3 - National Commodity Futures Examination

BC

Issued 08/20/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Rick Capozzi. Review regulatory record here.
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