Joseph Cappuccino

Current Employers

Employment History

• 05/2016 → 06/2018
  Galt Financial Group, Inc.
  Westlake Village, CA
• 05/2016 → 06/2018
  Wealth Enhancement & Preservation, Inc.
  Westlake Village, CA
• 06/2018 → 05/2023
  Lpl Financial Llc
  Thousand Oaks, CA
• 05/2023 → 10/2025
  Commonwealth Financial Network
  San Diego, CA
• 05/2023 → Present
  Cappuccino, Inc.
  Thousand Oaks, CA
• 10/2025 → Present
  Raymond James Financial Services Inc.
  Westlake Village, CA
• 10/2025 → Present
  Raymond James Financial Services Advisors Inc.
  Westlake Village, CA

Previous Registrations

• 2023-05-24 → 2025-10-31
  Commonwealth Financial Network
  San Diego, CA
  Westlake Village, CA
• 2018-06-13 → 2023-05-26
  Lpl Financial Llc
  Thousand Oaks, CA
  Thousand Oaks, CA
  San Diego, CA
• 2016-11-23 → 2018-06-14
  Wealth Enhancement & Preservation, Inc.
  Westlake Village, CA

Other Businesses

(1)Name of Business: Cappuccino inc Address: 2659 Townsgate Road Suite 240, Westlake Village, CA, 91361, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 03/24/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner/support company that runs RJFS business (2)Name of Business: DBA Cappuccino Financial Address: 2659 Townsgate Rd Ste 240, Westlake Village, CA, 91361-2750, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 03/24/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-11-22
• S63 Uniform Securities Agent State Law Examination
  2014-05-16

Designations

Other Names

• Joey Cappuccino
• Joseph Cappuccino