Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Allen Cappiello is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Robert has been working in the financial industry since October 12, 1999 and has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since April 2000. Robert has a Series 63, Series 65, Series 7, and SIE license. Robert is registered in several states including Connecticut, Texas, Arizona, California, Colorado, Delaware, District of Columbia, Florida, Georgia, Hawaii, Kentucky, Maine, Maryland, Massachusetts, Michigan, Nebraska, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Utah, Vermont, Virginia and Washington. Robert specializes in providing investment advice to insurance companies, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth. Robert is a well-respected financial advisor with a long history of providing clients with quality service and advice.
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
CT
05/08/2000 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STAMFORD CT)
NY
01/23/1998 - 08/18/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/09/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/1998
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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