Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ralph? Claim Your ProfileRalph Caputo is a financial advisor with Wells Fargo Advisors Financial Network, LLC. Ralph has been in the financial services industry since 1971. Ralph has experience with various financial products and services and is registered with the state of New Hampshire as an Investment Advisor Representative. Ralph has earned the Series 3, 4, 5, 7TO, 12, 24, 53, 63 and 65 licenses. Ralph is also a Notary Public for Grafton County, NH. Ralph is committed to providing clients with personalized financial advice and guidance to help them reach their financial goals.
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
04/27/1999 - 10/01/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
07/31/1993 - 04/28/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/02/1978 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/28/1976 - 06/05/1978
MOSELEY, HALLGARTEN & ESTABROOK INC
NA
04/22/1976 - 04/28/1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
NA
04/28/1971 - 03/06/1975
ADVEST, INC.
NA
11/26/1969 - 11/12/1972
HUTCHINS, MIXTER & PARKINSON INCORPORATED
IA
Issued 11/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/26/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/15/1984
Series 24 - General Securities Principal Examination
BC
Issued 08/15/1984
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/18/1984
Series 4 - Registered Options Principal Examination
BC
Issued 07/05/1966
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1982
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/04/1978
PC - AMEX Put and Call Exam
Active
Inactive
F
FINRA
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