David CapinCRD Number: 1418383
Current Firm: Raymond James Financial Services Advisors, Inc.
David Capin (CRD# 1418383) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Kingston, PA and has over 31 years of experience in the finance industry.
Northeastern Financial Consultants, Inc.
Ameriprise Financial Services, Inc.
|Capin Investment Advisors, LLC||Kingston, PA||Mar 2012 - Current||5|
|Raymond James Financial Services||Kingston, PA||Jan 2012 - Current||5|
|Raymond James Financial Services Advisors Inc.||Kingston, PA||Jan 2012 - Current||5|
|Morgan Stanley Dw Inc.||Scranton, PA||Mar 2004 - Dec 2011||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1986|
|S65||NASAA Investment Advisors Law Examination||Jan 1993|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management64,210MILLIONS
Total Number of Accounts224,839ACCOUNTS
Average Account Value$285,581
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV