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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 2,100 registered representatives nationwide. Robert has held an industry securities registration for 36 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
Royal Alliance Associates, Inc. 20 years, 2 months Feb 1994 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/20/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Criminal Disclosure

1 Criminal Disclosure

As of Date
09/20/2013
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.

Advisor Exams

Exam Series Passed Date
Municipal Fund Securities Principal Examination Series 51 03/28/2003
General Securities Principal Examination Series 24 06/29/1994
Uniform Securities Agent State Law Examination Series 63 06/11/1986
General Securities Representative Examination Series 7 05/17/1986
Registered Representative Examination Series 1 10/24/1977

Firm Compensation Arrangements

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Types of Compensation Arrangements

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