Ronald Joseph Capone

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2025-07-10

PA RA
APPROVED

Since 2025-07-10

Branch Locations

Oreland, PA • 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

Organization	City	State	From	To
Cadaret, Grant & Co., Inc.	Oreland	PA	11/2012	07/2025
Prosperity Wealth Management	San Ramon	CA	08/2018	08/2018
Lpl Financial Llc	Oreland	PA	07/2025	Present

11/2012 → 07/2025

Cadaret, Grant & Co., Inc.

Oreland, PA
08/2018 → 08/2018

Prosperity Wealth Management

San Ramon, CA
07/2025 → Present

Lpl Financial Llc

Oreland, PA

Previous Registrations

2013-05-08 → 2025-07-10

Cadaret, Grant & Co., Inc.

Red Bank, NJ

Oreland, PA

Dunmore, PA

Little Silver, NJ

Syracuse, NY
2018-08-01 → 2018-08-02

Exodus Wealth, Llc

Oreland, PA

Other Businesses

1- 07/2025 - Northern lights band - Artist/ Musician - drummer - Not Investment Related - Home Based - Start Date 06/08/2017 - 6 hours per month/ 0 hours during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-12-01

S63 Uniform Securities Agent State Law Examination

1984-12-01

Designations

Chartered Financial Consultant

View on SEC IAPD