Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Caputo is a financial advisor with over 20 years of experience in the financial services industry. Kevin has worked with several large firms including Merrill Lynch, Wells Fargo, and Citigroup. Kevin is currently a Registered Representative with Apollon Wealth Management, LLC, where he specializes in providing financial planning, portfolio management, and insurance services to individuals, families, and businesses. He has a deep understanding of the financial markets and a strong commitment to helping his clients achieve their financial goals. Kevin is a CERTIFIED FINANCIAL PLANNER™ professional and holds the Series 7, Series 31, Series 63, and Series 65 licenses. He is also a registered investment advisor representative in California and Texas.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
TX
11/04/2024 - Present
Apollon Wealth Management, LLC (San Antonio TX)
CA
02/27/2009 - 01/21/2016
WELLS FARGO ADVISORS, LLC (LOS ANGELES CA)
CA
07/03/2006 - 03/19/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
CA
02/01/2000 - 07/05/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CENTURY CITY CA)
NY
09/03/1999 - 01/21/2000
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 02/28/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 09/02/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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