Ronald Cappuccio

CRD 5530949 · Charles Schwab & Co., Inc. · New York City, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 7TOSIESeries 7Series 10Series 9Series 66Series 65Series 63
Registered states (21): Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Illinois · Maine · Maryland · Massachusetts · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Tennessee · Texas · Virginia
Years in the industry (source record): 15
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5530949 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · SEC IAPD ↗

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (9)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
New York City, NY · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
New York City, NY · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
Weehawken, NJ · IA capacity

Jun 6, 2013 → Jun 29, 2017
Ubs Financial Services Inc.
Weehawken, NJ · BC capacity

Jun 6, 2013 → Jun 29, 2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Pennington, NJ · IA capacity

Jun 30, 2010 → May 28, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Pennington, NJ · BC capacity

Jun 30, 2010 → May 28, 2013
Npa Asset Management, LLC
Paramus, NJ · IA capacity

Jan 22, 2010 → Jun 7, 2010
Npa Financial Services, Inc.
Paramus, NJ · BC capacity

Aug 14, 2009 → Jun 7, 2010
David Lerner Associates, Inc.
Teaneck, NJ · BC capacity

Jun 25, 2008 → Aug 31, 2009

Source & corrections

Where this page comes from

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