James Frank Caparelli

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 01/1995 → Present
  Caparelli Wealth Management, Inc.
  Savannah/Atlanta, GA
• 08/2010 → Present
  Gwn Securities Inc
  Palm Beach Gardens, FL

Previous Registrations

• 2007-01-31 → 2010-08-04
  Mm Ascend Life Investor Services, Llc
  Cincinnati, OH
  Savannah, GA
  Cincinnati, OH

Other Businesses

CAPARELLI WEALTH MANAGEMENT, INSURANCE SALES, INDEPENDENT INSURANCE AGENT Securities DBA used in conjunction with Investment Sales, 340 EISENHOWER DR #1102-B, SAVANNAH, GA 31406. TIME DEVOTED 25% INSURANCE Is Not Investment Related, "Insurance sales - Life, LTC, Fixed Annuities, Fixed Indexed Annuities",Representative,1994-06-01,10 hours per month,0 hours per month during trading hours, Commission Compensation, "This was previously reported on 10/20/2011 and also 7/1/1010. Uncertain why is is not seen under current disclosure tracking. Duties include sales and service of Life, LTC, Fixed Annuities, Fixed Indexed Annuities." REAL ESTATE RENTAL POSITION: CO-OWNER NATURE: RESIDENTIAL REAL ESTATE RENTAL.CO-OWNER WITH MY SPOUSE IN OWNERSHIP OF ONE RESIDENTIAL PROPERTY WITH THE INTENT TO RENT TO A TENANT. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 11/01/2014 ADDRESS: 511 JOHNSTON ST., SAVANNAH GA 31405 DESCRIPTION: CO-OWNER, WITH SPOUSE. THIS IS GENERALLY A PASSIVE ACTIVITY.DUTIES MAY INCLUDE TENANT RENT COLLECTION AND ORGANIZING POSSIBLE REPAIRS IF / WHEN NECESSARY. REAL ESTATE RENTAL (HOSTESS CITY PROPERTIES, LLC) POSITION: co-owner NATURE: Residential Real Estate Rental.Co-Owner with my spouse in ownership of one residential property with the intent to rent to a tenant. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2014 ADDRESS: 511 Johnston St., Savannah GA 31405 DESCRIPTION: Co-Owner, with spouse. This is generally a passive activity.Duties may include tenant rent collection and organizing possible repairs if / when necessary.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-01-27
• S63 Uniform Securities Agent State Law Examination
  1994-09-07

Designations

• Certified Financial Planner

Other Names

• Jimmy Caparelli