Rudolfo Mark Capobres

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2014 → 04/2018
  Commonwealth Financial Network
  Waltham, MA
• 11/2013 → 04/2018
  Coghill Investment Strategies, Llc
  Pittsburgh, PA
• 04/2018 → 03/2019
  The Strategic Financial Alliance, Inc.
  Atlanta, GA
• 04/2018 → 03/2019
  Main Advisory, Inc.
  Mcmurray, PA
• 04/2019 → Present
  Principal Life Insurance Co
  Pittsburgh, PA
• 06/2019 → Present
  Principal Securities
  Pittsburgh, PA

Previous Registrations

• 2018-04-10 → 2019-01-28
  The Strategic Financial Alliance, Inc.
  Canonsburg, PA
• 2014-01-07 → 2018-04-06
  Commonwealth Financial Network
  Pittsburgh, PA
• 2006-12-05 → 2013-11-19
  Nationwide Investment Advisors, Llc
  Columbus, OH
• 2006-08-01 → 2006-12-05
  Nationwide Investment Services Corporation
  Hunt Valley, MD
  Columbia, MD
  Timonium, MD

Other Businesses

PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 2534 Forest Brook Dr, Pittsburgh PA 15241, United States DESCRIPTION: Formally designate a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-07-31
• S63 Uniform Securities Agent State Law Examination
  2000-04-05

Other Names

• Rudolfo Mark Capobres
• R Mark Capobres
• Mark Capobres