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Chadwick Michael Capps

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

Cary, NCCRD #6664061Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
8 yrs
States Registered
17 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 17 states
AlabamaCaliforniaColoradoDelawareFloridaGeorgiaKentuckyMassachusettsMinnesotaNew HampshireNew YorkNorth CarolinaPennsylvaniaSouth CarolinaTennesseeTexasVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/8/2016
Series 63
Uniform Securities Agent State Law Examination
Passed 8/15/2016
Series 7
General Securities Representative Examination
Passed 7/30/2019
SIE
Securities Industry Essentials Examination
Passed 8/10/2017
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 8/5/2016

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
7/1/2019Cary, NC
WELLS FARGO CLEARING SERVICES, LLC
9/9/20168/10/2017Fuquay Varnia, NC

Official records & sources

Data as of August 10, 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. Chadwick Michael Capps 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.

Chadwick Michael Capps - Financial Advisor in Cary, NC | AdvisorFinder