linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Frank Vincent Caputo

Maxim Group LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Frank? Claim Your Profile

About Frank Vincent Caputo

Frank Caputo is a financial professional with over two decades of experience in the industry. Frank is currently registered with Maxim Group LLC in Red Bank, New Jersey. Prior to joining Maxim Group LLC, Frank was employed by Credit Suisse Securities (USA) LLC, The Vertical Group, Vandham Securities Corp., TD Waterhouse Capital Markets, Inc. and Fleet Securities, Inc. Frank holds FINRA Series 7, 24, 55, 57TO, and 63 licenses. Frank is registered with the state of New Jersey and New York.

Firm Information

Frank Caputo is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Frank Caputo’s Registration & Firm History

NJ

04/06/2020 - Present

Maxim Group LLC (RED BANK NJ)

NY

07/13/2016 - 04/28/2020

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

NJ

06/02/2015 - 06/22/2016

THE VERTICAL GROUP (Mahwah NJ)

NJ

10/11/2006 - 06/01/2015

VANDHAM SECURITIES CORP. (WOODCLIFF LAKE NJ)

NE

04/07/2004 - 09/12/2006

TD WATERHOUSE CAPITAL MARKETS, INC. (BELLEVUE NE)

TX

07/18/2000 - 12/02/2002

FLEET SECURITIES, INC. (DALLAS TX)

MD

03/24/1998 - 01/01/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

Not sure if Frank Vincent Caputo is right for you?

Licenses & Designations

BC

Issued 07/29/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/29/2014

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 08/03/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/23/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Frank Vincent Caputo.
Not sure if Frank Vincent Caputo is right for you?