Unclaimed Profile

Thomas A Cappello

MANAGED ACCOUNT ADVISORS LLC·JERSEY CITY, New Jersey

SIE, Series 3, Series 4, Series 7, Series 9, Series 10, Series 24, Series 66CFAClean record23 years registeredMANAGED ACCOUNT ADVISORS LLC

101 HUDSON STREET, JERSEY CITY, NJ 07302CRD# 4598713Firm CRD# 142558

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas A Cappello · JERSEY CITY, NJ

Registration

CRD #4598713 · MANAGED ACCOUNT ADVISORS LLC · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: MANAGED ACCOUNT ADVISORS LLC

LPL FINANCIAL LLC

Dec 2020 – Jan 2022

FORT MILL, SC

UBS FINANCIAL SERVICES INC.

Jan 2003 – Nov 2014

NEW YORK, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 4

Series 7

Series 9

Series 10

Series 24

Series 66

Registration record

First registered · January 17, 2003

Years registered · 23

Professional designation · CFA

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

MANAGED ACCOUNT ADVISORS LLC

CRD 142558 · SEC 801-67569

AUM

$691.9B

Regulatory assets under management

Employees

1,840,565 client accounts

Services offered by MANAGED ACCOUNT ADVISORS LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at MANAGED ACCOUNT ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Thomas A Cappello offer?

Thomas A Cappello specializes in Investment Management, Wealth Management, Fee-Only Advisory.

What are Thomas A Cappello's credentials?

Thomas A Cappello holds the following professional designations: CFA. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Thomas A Cappello located?

Thomas A Cappello is based in JERSEY CITY, New Jersey, last registered with MANAGED ACCOUNT ADVISORS LLC.

How does Thomas A Cappello charge for services?

Thomas A Cappello's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MANAGED ACCOUNT ADVISORS LLC?

MANAGED ACCOUNT ADVISORS LLC has approximately 61 employees and manages $691.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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