Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel S. Caputo is a financial advisor with over 20 years of experience in the industry. Daniel has worked with several firms, including Mutual of Omaha Investor Services, AXA Advisors, LLC, Center Street Securities, Inc., E D & F MAN CAPITAL MARKETS INC. and CCM SECURITIES, LLC. Daniel is currently registered with LPL Financial LLC in Tennessee and Texas. Daniel specializes in financial planning, portfolio management for individuals and businesses, pension consulting and educational seminars. Daniel holds a Series 7, Series 24, Series 4, Series 55, Series 63, and Series 65 licenses. Daniel has worked in the financial industry since August 7, 1999.
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.
Consulting and other non-discretionary advisory services
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.
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2
TN
04/11/2022 - Present
LPL Financial LLC (BRENTWOOD TN)
TN
11/18/2019 - 03/24/2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (FRANKLIN TN)
TN
09/21/2017 - 10/09/2019
AXA ADVISORS, LLC (FRANKLIN TN)
TN
11/14/2016 - 05/02/2017
CENTER STREET SECURITIES, INC. (NASHVILLE TN)
IL
09/24/2015 - 10/31/2016
E D & F MAN CAPITAL MARKETS INC. (Chicago IL)
IL
12/06/2010 - 09/29/2015
CCM SECURITIES, LLC (CHICAGO IL)
IL
01/14/1999 - 12/31/2010
MF GLOBAL INC. (CHICAGO IL)
IA
Issued 08/30/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/04/2003
Series 4 - Registered Options Principal Examination
BC
Issued 08/13/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/13/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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