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Enrico Giovanni Cacciapuoti

Investment Adviser Representative at BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.

Monrovia, CACRD #2433554Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
1 states
Exams Passed
5

Professional summary

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

Enrico Giovanni Cacciapuoti has worked in the securities industry since 1996. They are registered to provide investment advisory services in California.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
California
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/12/2003
Series 63
Uniform Securities Agent State Law Examination
Passed 2/24/1994
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 11/28/2000
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/27/1994

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Berthel Fisher & Company Financial Services, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.Current
4/7/2026Monrovia, CA
BFC PLANNING, INC.Current
4/7/2026Monrovia, CA
KINGSWOOD WEALTH ADVISORS, LLC
2/26/20263/18/2026Monrovia, CA
FIRST HEARTLAND CONSULTANTS, INC.
3/12/20252/26/2026Los Angeles, CA
PARK AVENUE SECURITIES LLC
3/30/20232/15/2024Irvine, CA
CREATIVEONE SECURITIES, LLC
2/5/202112/31/2022Santa Monica, CA
CLIENT ONE SECURITIES LLC
3/18/202012/31/2020Santa Monica, CA
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
3/29/201810/28/2019Los Angeles, CA
ROYAL ALLIANCE ASSOCIATES, INC.
12/12/20033/13/2018Los Angeles, CA
AFP ADVISORY SERVICES INC
12/5/200311/29/2004Los Angeles, CA

Official records & sources

Data as of May 30, 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. Enrico Giovanni Cacciapuoti 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.

Enrico Giovanni Cacciapuoti - Financial Advisor in Monrovia, CA | AdvisorFinder