Public records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Cape Securities broker John Prinzivalli is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Prinzivalli (CRD# 4185256).
John Prinzivalli has spent sixteen years in the securities industry and has been registered with Cape Securities in Holtsville, New York since 2012. Previous registrations include Salomon Whitney in Holbrook, New York (2011-2012); First Midwest Securities in Holbrook, New York (2009-2011); JP Turner & Company in Holtsville, New York (2007-2009); Westrock Advisors in New York, New York (2005-2007); JP Turner & Company in Atlanta, Georgia (2002-2005); Milestone Financial Services in Bohemia, New York (2002-2002); Seaboard Securities in Florham Park, New Jersey (2001-2002); and Global Capital Securities in Englewood, Colorado (2001). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 17, 2001; Series 7 (General Securities Representative Examination), which he obtained on December 10, 2002; and Series 62 (Corporate Securities Limited Representative Examination), which he obtained on June 28, 2001. He is a registered broker and investment adviser with 25 US states and territories: Arizona, Arkansas, California, Connecticut, Florida, Georgia, Illinois, Maryland, Massachusetts, Minnesota, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, South Dakota, Texas, Virginia, Washington, and Wisconsin.
According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.