Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Caputo is a financial professional with over 20 years of experience in the financial services industry. Robert is currently registered with Fidelity Brokerage Services LLC and has been in the industry since 2003. Robert has held previous positions at Park Avenue Securities LLC, Citizens Securities, Inc., MetLife Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Columbia Management Distributors, Inc. and FIS Securities, Inc.. Robert has a strong background in securities, investment company products and variable contracts. Robert is licensed to sell securities in all 50 states.
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.
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2
NH
07/18/2024 - Present
Fidelity Brokerage Services LLC (MERRIMACK NH)
MA
11/30/2016 - 10/30/2017
PARK AVENUE SECURITIES LLC (NEEDHAM MA)
MA
03/07/2016 - 08/15/2016
CITIZENS SECURITIES, INC. (SAUGUS MA)
MA
05/19/2015 - 03/07/2016
METLIFE SECURITIES INC. (WELLESLEY MA)
MA
08/28/2009 - 10/21/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)
MA
09/05/2002 - 08/31/2009
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)
MA
01/09/2002 - 09/04/2002
FIS SECURITIES, INC. (BOSTON MA)
MA
03/02/2000 - 11/14/2000
FIS SECURITIES, INC. (BOSTON MA)
NY
09/19/1997 - 05/27/1998
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
RI
07/31/1997 - 10/17/1997
CITIZENS INVESTMENT SECURITIES, INC. (JOHNSTON RI)
NA
07/22/1994 - 08/07/1995
SHAWMUT BROKERAGE, INC.
MN
09/23/1993 - 06/28/1994
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MN
10/08/1992 - 06/28/1994
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
NA
03/19/1986 - 03/29/1988
FIDELITY BROKERAGE SERVICES, INC.
BC
Issued 07/30/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/02/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/27/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 07/18/2024
Series 7TO - General Securities Representative Examination
BC
Issued 05/31/2024
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1993
Series 7 - General Securities Representative Examination
BC
Issued 10/05/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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