Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Caputo is a financial professional with over nine years of experience in the securities industry. Philip is currently registered with Cowen and Co. Philip has previously worked at BMO Capital Markets Corp. and Barclays Capital Inc. Philip holds the Series 3, 7, 57, and 66 licenses as well as the SIE exam. Philip is registered in several states including California, Connecticut, Florida, Illinois, Massachusetts, New Jersey, New York, Ohio, Tennessee, 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.
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.
1
2
NY
05/21/2019 - Present
Cowen AND Co. (NEW YORK NY)
NY
01/25/2016 - 05/06/2019
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
NY
02/08/2010 - 06/25/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
BOTH
Issued 06/30/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2016
Series 57 - Securities Trader Exam
BC
Issued 09/19/2014
Series 3 - National Commodity Futures Examination
BC
Issued 02/05/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Philip Caputo is the right advisor for you? Invested Better is here to help.
