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Mark Michael Caputo

Wells Fargo Clearing Services, LLC

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About Mark Michael Caputo

Mark Michael Caputo is a financial advisor with over 40 years of experience in the financial services industry. Mark has been with Wells Fargo Clearing Services, LLC since April 2010. Before joining Wells Fargo, Mark worked for several other firms including Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Bateman Eichler, Hill Richards, Incorporated, Lehman Brothers Kuhn Loeb Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Smith Barney, Harris Upham & Co., Incorporated. Mark holds Series 63, Series 7 and SIE licenses. Mark provides financial planning, portfolio management for businesses and individuals, and selection of other advisors.

Firm Information

Mark Caputo is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mark Caputo’s Registration & Firm History

TX

04/08/2010 - Present

Wells Fargo Clearing Services, LLC (DENTON TX)

TX

06/01/2009 - 04/12/2010

MORGAN STANLEY SMITH BARNEY (DALLAS TX)

TX

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (DALLAS TX)

TX

02/24/1984 - 04/02/2007

MORGAN STANLEY DW INC. (DALLAS TX)

NA

11/11/1982 - 03/05/1984

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

NA

01/03/1982 - 11/09/1982

LEHMAN BROTHERS KUHN LOEB INCORPORATED

NA

08/28/1981 - 12/07/1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NA

01/19/1980 - 07/06/1981

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

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Licenses & Designations

BC

Issued 02/12/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/19/1980

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 3 public disclosures for Mark Michael Caputo. Review regulatory record here.
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