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Robert Capito

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Information

Other Names: Robert Alan Capito
Firm:
Type: Dual Registration
Description

Robert Capito is a financial professional at Royal Alliance Associates, Inc., a broker-dealer with over 1,900 registered representatives nationwide. Robert has held an industry securities registration for 11 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Royal Alliance Associates, Inc. 20 years, 9 months Feb 1994 - Present
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 06/11/1986

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Robert Capito has not answered any questions on Financial Q&A.

Top Guides

Robert Capito has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Criminal Disclosure

1 Criminal Disclosure

As of Date
10/03/2014
12/01/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions