James Vincent Capuano

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 12/1993 → Present
  The Prudential Insurance C0Mpany Of America
  Marlton, NJ
• 12/1993 → 11/2024
  Pruco Securities ,Llc
  Marlton, NJ
• 11/2024 → Present
  Lpl Enterprise, Llc
  Marlton, NJ

Previous Registrations

• 2022-02-16 → 2024-11-14
  Pruco Securities, Llc.
  Marlton, NJ
  Marlton, NJ
  Marlton, NJ
  Marlton, NJ
  Berlin, NJ
  Marlton, NJ

Other Businesses

1) 11/22/2024 - Plymouth Rock, Pilgrim Insurance - Property and Casualty - solicit and sell P&C Business - INV Related - At Marlton, NJ - Start Date 01/01/1985 - 10hrs/mth - 5hrs During Trading 2) 11/26/2024 - United Of Omaha - Non-Variable Insurance - service Medicare Supplement - INV Related - At Marlton, NJ - Start Date 11/01/2010 - 1hrs/mth - 1hrs During Trading 3) 01/21/2025 - Assurity Life - Non-Variable Insurance Commission Trails - Trails only - INV Related - At Marlton, NJ - Start Date 08/01/2020 - 0hrs/mth - 0hrs During Trading 4) 01/21/2025 - Genworth Life - Non-Variable Insurance Commission Trails - Genworth Life - INV Related - At Marlton, NJ - Start Date 04/01/2016 - 0hrs/mth - 0hrs During Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1983-05-25

Designations

• Chartered Financial Consultant

Other Names

• James Vincent Capuano