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Andrew Nelson Cappello Jr

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Raleigh, NCCRD #5698840Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
12 yrs
States Registered
33 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Andrew Nelson Cappello has worked in the securities industry since 2014. They are registered to provide investment advisory services in 33 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 33 states
AlabamaArizonaArkansasCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaHawaiiIllinoisIndianaIowaKentuckyLouisianaMaineMarylandMassachusettsNevadaNew JerseyNew YorkNorth CarolinaOhioOregonPennsylvaniaPuerto RicoSouth CarolinaTennesseeTexasVirginiaWashingtonWest VirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 3/15/2017
Series 63
Uniform Securities Agent State Law Examination
Passed 9/22/2014
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/11/2014

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
3/20/2017Raleigh, NC
J.P. MORGAN SECURITIES LLC
8/11/20142/21/2017Palm Beach, FL

Official records & sources

Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Andrew Nelson Cappello Jr has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Andrew Nelson Cappello Jr - Financial Advisor in Raleigh, NC | AdvisorFinder