Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alfredo? Claim Your ProfileAlfredo Caputo is a financial advisor with over 20 years of experience in the industry. Alfredo is currently registered with UBS Financial Services Inc. Alfredo holds both Series 7 and Series 63 securities licenses and Series 65 investment advisor license. Alfredo has worked for several prominent financial institutions including UBS International Inc. and CitiCorp Securities, Inc. Alfredo has experience working with a range of clients, including individuals, corporations, and charitable organizations. Alfredo's practice is focused on providing investment advice and financial planning services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
07/11/2001 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
11/21/2000 - 08/01/2001
UBS WARBURG LLC (NEW YORK NY)
ME
06/01/2000 - 08/21/2000
FUNDS DISTRIBUTOR, INC. (PORTLAND ME)
NY
08/26/1997 - 07/06/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
IA
Issued 07/27/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Alfredo Caputo is the right advisor for you? Invested Better is here to help.
