Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Ann Caputo is a financial advisor at UBS Financial Services Inc. Barbara has over 30 years of experience in the financial services industry. Barbara is registered to provide investment advice in 11 states, including Michigan, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Ohio, Texas, and Wisconsin. Barbara is also a Series 7 and Series 63 licensed professional, and a SIE exam holder. Previously, Barbara worked at Morgan Stanley, UBS Financial Services Inc., Fifth Third Securities, Inc., A. G. Edwards & Sons, Inc., Kemper Securities Group, Inc., Prescott, Ball & Turben, Inc., and Rodman & Renshaw Inc. Barbara is a specialist in providing financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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
MI
10/20/2016 - Present
UBS Financial Services Inc. (GRAND RAPIDS MI)
MI
11/29/2013 - 10/19/2016
MORGAN STANLEY (GRAND RAPIDS MI)
MI
03/02/2007 - 12/09/2013
UBS FINANCIAL SERVICES INC. (GRAND RAPIDS MI)
MI
05/17/2005 - 02/09/2007
FIFTH THIRD SECURITIES, INC. (GRAND RAPIDS MI)
MO
03/13/1992 - 05/09/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
MO
09/04/1990 - 04/08/1992
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
11/21/1988 - 09/04/1990
PRESCOTT, BALL & TURBEN, INC.
NA
08/23/1988 - 11/18/1988
RODMAN & RENSHAW INC.
BC
Issued 10/03/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
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
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