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Gloucester, MA 01930
978-420-4015
About Engineered Wealth Solutions
Before founding Engineered Wealth Solutions, Robert L. Capone, Jr., spent 14 years as a construction manager, overseeing large commercial projects. He then began his finance career working with his father, who has over 40 years of industry experience and taught Robert the steps to building financial success.
Robert's real-world engineering experience helps him connect with professionals from a host of demanding industries, allowing him to speak their language and translate key financial concepts.
See Disclosures
General Information
Firm Start Year
CRD#
5752506
Firm CRD#
8032
Insurance License#
15743310
Name of Broker/Dealer
Commonwealth Financial Network
States Licensed in
CA, MA, ME, MO, NH, PA, RI, TN
Years of Experience in Financial Services
15
Number of Years with Current Firm
1
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Foreign Languages Serviced
English
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses
Services
Investment Types
Mortgages & Real Estate, Commodities, Insurance, Annuities, Stocks, Bonds, Mutual Funds, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
Can meet clients in the following ways
Email, Phone, Our Office, Your Office, Your Home, Video Conference, Our Offices
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Securities Licenses
Series 66, Series 7
Insurance and Annuity Licenses
Annuity, Long Term Care, Variable Annuity, Life, Variable Life
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$150,000
Compensation Methods
Based on Assets, Commissions
Fee % Based on Assets
1.25
Additional Details on Charges
Planning fee included in Fee % based on assets
Minimum Fee Charged for Managed Accounts
$1500
Minimum Fee Charged for Hourly Planning Accounts
$0
Education
Bachelor of Science - Civil Engineering
Worcester Polytechnic Institute
9/1991 -12/1995
Disclosures
Commonwealth Financial Network ADV 2A
https://adviserinfo.sec.gov/firm/brochure/8032
Additional Detailed Disclosures
https://content.commonwealth.com/media/Capone_Robert_RetirementPlanning.net_Promoter_Disclosure.pdf
Disclaimer
Securities and advisory services offered through Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Adviser. Fixed insurance products and services are separate from and not offered through Commonwealth Financial Network®. Robert Capone is dually registered as a registered representative and investment adviser representative of Commonwealth Financial Network®. In these roles, Robert Capone is able to offer two types of accounts: brokerage accounts and asset management accounts. When serving as your advisor on a brokerage account, Robert Capone is required to act in accordance with the requirements of Regulation Best Interest (Reg BI). When serving as your advisor on an asset management account, Robert Capone is required to act in a fiduciary capacity.
In addition to the annual management fee, PPS Custom Program clients may pay platform fees, administrative charges, and miscellaneous account fees and charges, as described in the Master Services Agreement (MSA) or PPS Client Agreement (as applicable) and Commonwealth's ADV Part 2A Brochure.
The Commonwealth Advisor(s) associated with this profile may discuss and/or transact business only with residents of states in which they are registered. You may review a list of Advisor's registrations and other information by visiting BrokerCheck.