AdFi
EM

Ernest Mark Caponegro

Investment Adviser Representative at OSAIC ADVISORY SERVICES, LLC

Manasquan, NJCRD #1025695Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
44 yrs
States Registered
1 states
Exams Passed
13

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
New Jersey
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 7/31/1999
Series 63
Uniform Securities Agent State Law Examination
Passed 11/16/1982
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 15
Foreign Currency Options Examination
Passed 5/22/1986
Series 3
National Commodity Futures Examination
Passed 1/4/1983
Series 7
General Securities Representative Examination
Passed 2/20/1982
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 24
General Securities Principal Examination
Passed 5/25/1994
Series 53
Municipal Securities Principal Examination
Passed 2/10/1994
Series 4
Registered Options Principal Examination
Passed 8/28/1993
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 9/20/1989

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Source

Osaic Advisory Services, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC ADVISORY SERVICES, LLCCurrent
10/15/2024Manasquan, NJ
OSAIC WEALTH, INC.
10/11/202410/11/2024Scottsdale, AZ
AMERICAN PORTFOLIOS ADVISORS, INC
5/10/202110/11/2024Holbrook, NY
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
1/5/20094/30/2012Red Bank, NJ
FIRST MONTAUK SECURITIES CORP.
11/13/200611/19/2008Pt Pleasant, NJ

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at OSAIC ADVISORY SERVICES, LLC

Showing 12 of 358 in the directory

View OSAIC ADVISORY SERVICES, LLC firm profile
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. Ernest Mark Caponegro 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.

Ernest Mark Caponegro - Financial Advisor in Manasquan, NJ | AdvisorFinder