Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ronald? Claim Your ProfileRonald Cappuccio is a financial advisor associated with Charles Schwab & CO., Inc. in New York City, New York. Ronald has been in the industry since July 2008. Ronald has experience in providing financial planning services and selection of other advisors. Ronald is registered in 19 states. Ronald is also a Young Associate Director - Board Member for the Metropolitan Opera. Ronald has passed the SIE, Series 7, Series 9, Series 10, Series 63, Series 65 and Series 66 examinations.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NY
04/09/2024 - Present
Charles Schwab & CO., Inc. (New York City NY)
NJ
07/17/2017 - 05/14/2021
CHARLES SCHWAB & CO., INC. (Red Bank NJ)
NJ
06/06/2013 - 06/29/2017
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
06/30/2010 - 05/28/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
NJ
08/14/2009 - 06/07/2010
NPA FINANCIAL SERVICES, INC. (PARAMUS NJ)
NJ
06/25/2008 - 08/31/2009
DAVID LERNER ASSOCIATES, INC. (TEANECK NJ)
BOTH
Issued 04/08/2024
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/20/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/12/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/12/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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