Joseph Cappuccino
Joseph Cappuccino is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Westlake, CA, with 11 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
2659 Townsgate Rd, Ste 240, Westlake, CA, 91361
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Joseph sells fixed insurance products, dedicating minimal time to this activity. He also owns Cappuccino, Inc., a private entity for securities, advisory, and insurance business, and makes mortgage and real estate referrals through Sherwood Mortgage Group, both requiring minimal time.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
Raymond James Financial Services Advisors, INC
Previous Registrations
Commonwealth Financial NetworkBroker
Commonwealth Financial Network
LPL Financial LLC
LPL Financial LLCBroker
Wealth Enhancement & Preservation, INC.
Galt Financial Group, INC.Broker
Oppenheimerfunds Distributor, INC.Broker
Galt Financial Group, INC.Broker
State Registrations15 states
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