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David A. Caputo

UBS Asset Management (us) Inc.

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About David A. Caputo

David A. Caputo is a financial professional with over 9 years of experience in the industry. David is currently registered with UBS Asset Management (us) Inc. and is located in New York, NY. Prior to this, David was registered with CREDIT SUISSE SECURITIES (USA) LLC in New York, NY. David holds the Series 99 and SIE licenses.

Firm Information

David Caputo is currently registered with UBS Asset Management (us) Inc.. UBS Asset Management (us) Inc. is a corporation formed in May 1977 and is approved in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 1 approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

37

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Caputo’s Registration & Firm History

NY

05/01/2024 - Present

UBS Asset Management (us) Inc. (New York NY)

NY

06/05/2014 - 05/01/2024

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/05/2014

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David A. Caputo.
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