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Andrew Nelson Cappello

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tampa, FL

Raleigh, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-06-09
TX RA APPROVED 2018-01-03
FL RA APPROVED 2017-03-20
  • NC RA
    APPROVED
    Since 2023-06-09
  • TX RA
    APPROVED
    Since 2018-01-03
  • FL RA
    APPROVED
    Since 2017-03-20

Branch Locations

101 E Kennedy Blvd, Tampa, FL 33602 • United States

4242 Six Forks Rd, Raleigh, NC 27609 • 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
J.P. Morgan Securities Llc Palm Beach FL 07/2014 02/2017
Jpmorgan Chase Bank Na Palm Beach FL 07/2014 02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tampa FL 02/2017 Present
Bank Of America, N.A. Tampa FL 03/2017 Present
  • 07/2014 → 02/2017
    J.P. Morgan Securities Llc
    Palm Beach, FL
  • 07/2014 → 02/2017
    Jpmorgan Chase Bank Na
    Palm Beach, FL
  • 02/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Tampa, FL
  • 03/2017 → Present
    Bank Of America, N.A.
    Tampa, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-03-15
S63 Uniform Securities Agent State Law Examination 2014-09-22
  • S65 Uniform Investment Adviser Law Examination
    2017-03-15
  • S63 Uniform Securities Agent State Law Examination
    2014-09-22
Other Names
  • Andrew Nelson Cappello
  • Andrew Nelson Cappello
  • Drew Cappello
  • Andrew Cappello

View on SEC IAPD

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