RICHARD LOUIS CAPULLO

RICHARD LOUIS CAPULLO is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 20 CORPORATE WOODS BLVD 2ND FL, LOUDONVILLE, NY, 12211.

RICHARD LOUIS CAPULLO has worked at CETERA ADVISOR NETWORKS LLC since September 03, 2013

Disclosure History

RICHARD LOUIS CAPULLO has 1 Disclosure Event(s).

Date: October 24, 2012
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THE VARIABLE LIFE INSURANCE POLICY PURCHASED FROM THE REPRESENTATIVE IN APRIL 1988 WAS NOT PRESENTED ACCURATELY. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED.

Errors or Outdated Information?

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.

OTHER BROKERS IN NY WITH DISCLOSURE EVENTS

To view the full report for RICHARD LOUIS CAPULLO, click here.

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

BrokerSearch Removal