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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-04-29
  • CT RA
    APPROVED
    Since 2024-04-29

Branch Locations

200 Mill Plain Road 2Nd Floor, Fairfield, CT 06824 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

200 Mill Plain Road 2Nd Floor, Fairfield, CT 06824 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citizens Securities, Inc. East Lyme CT 06/2016 10/2019
Ameriprise Financial Services Inc Fairfield CT 10/2019 03/2020
Ameriprise Financial Services, Llc Fairfield CT 03/2020 04/2024
Lpl Financial Llc Fairfield CT 04/2024 Present
Previous Registrations
  • 2019-10-04 → 2024-05-02
    Fairfield, CT
  • 2016-06-21 → 2019-10-07
    Deep River, CT
    New Haven, CT
    Woodbridge, CT
    Orange, CT
    Stamford, CT
    Greenwich, CT
    Milford, CT
    Smithfield, RI
    Stamford, CT
    Greenwich, CT
  • 2012-01-03 → 2016-06-30
    New Haven, CT
    Seymour, CT
    Shelton, CT
    New Haven, CT
    New Haven, CT
    East Haven, CT
    New Haven, CT
    West Haven, CT
    New Haven, CT
    New Haven, CT
    East Haven, CT
    Hamden, CT
    New Haven, CT
    Woodbridge, CT
    Orange, CT
    Monroe, CT
    Stratford, CT
    Milford, CT
    West Haven, CT
    Hamden, CT
    Milford, CT
  • 2010-12-20 → 2012-02-01
    Msi Financial Services, Inc.
    West Palm Beach, FL
    Shelton, CT
  • 2009-05-02 → 2009-08-04
    Chase Investment Services Corp.
    Jupiter, FL
    Wellington, FL
    Lake Park, FL
    West Palm Beach, FL
    Royal Palm Beach, FL
  • 2007-06-28 → 2009-05-02
    Wamu Investments, Inc.
    Jupiter, FL
    Wellington, FL
    West Palm Beach, FL
    Lake Park, FL
    West Palm Beach, FL
    Royal Palm Beach, FL
  • 2005-07-13 → 2006-01-05
    Citicorp Investment Services
    New York, NY
Other Businesses

1) 04/2024 - Fairfield Coast Financial / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent 2) 04/2024 - Fairfield Coastal Financial / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-01
S63 Uniform Securities Agent State Law Examination 2000-10-09
  • S65 Uniform Investment Adviser Law Examination
    2005-07-01
  • S63 Uniform Securities Agent State Law Examination
    2000-10-09
Other Names
  • Michelle A. Capasso
  • Michelle Capasso
  • Michelle Ann Capasso

View on SEC IAPD

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