JAMES CARMELO CAPELLA

JAMES CARMELO CAPELLA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 29 S MAIN ST, WEST HARTFORD, CT, 06107.

JAMES CARMELO CAPELLA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since March 27, 2015

Disclosure History

JAMES CARMELO CAPELLA has 4 Disclosure Event(s).

Date: July 14, 2016
Category: Financial
Type: Bankruptcy
Disposition: Discharged

Date: December 01, 2010
Category: Financial
Type: Compromise
Disposition: SETTLED

Date: August 05, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: August 01, 2010
Category: Financial
Type: Compromise
Disposition: SETTLED

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JAMES CARMELO CAPELLA, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.