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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-02-22
CT RA APPROVED 2015-03-27
  • TX RA
    APPROVED_RES
    Since 2016-02-22
  • CT RA
    APPROVED
    Since 2015-03-27

Branch Locations

1414 Main St, Springfield, MA 01144 • United States

West Hartford, CT • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated West Hartford CT 03/2015 Present
Bank Of America, N.A. West Hartford CT 04/2015 Present
Previous Registrations
Other Businesses

I*433116, Entity Type: Entity For Profit, Name of OBA: Business Network International (BNI), Address: Windsor Locks, Connecticut 06096, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 10/06/2016, No Hours: 6, No Hours during trading: 0, Duties: I am a participant in a networking group. I am there to provide my financial services to the needs of any individuals that request my services.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-30
  • S66 Uniform Combined State Law Examination
    2013-09-30
Other Names
  • James Capella

View on SEC IAPD

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