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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Caputo is a financial advisor currently registered with Wells Fargo Advisors Financial Network, LLC. John has been in the financial services industry since 1985 and has experience working with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., UBS Paine Webber Inc., Salomon Smith Barney Inc. and Lehman Brothers Inc..
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.
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.
Investment consulting services to institutional clients
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
NH
01/21/2011 - Present
Wells Fargo Advisors Financial Network, LLC (WEST LEBANON NH)
NH
06/01/2009 - 01/27/2011
MORGAN STANLEY SMITH BARNEY (LEBANON NH)
NH
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LEBANON NH)
NH
09/16/2002 - 04/02/2007
MORGAN STANLEY DW INC. (WEST LEBANON NH)
NJ
04/23/1999 - 10/01/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
07/31/1993 - 05/17/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
12/17/1985 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 02/08/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/16/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/1987
Series 3 - National Commodity Futures Examination
BC
Issued 12/14/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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