Dominic Caputo, financial advisor Amherst NH
96 score

Dominic Caputo

CRD Number: 3066133
Current Firm: Lincoln Financial Securities Corporation

Dominic Caputo (CRD# 3066133) is an Investment Advisor Representative working at Lincoln Financial Securities Corporation in Amherst, NH and has over 18 years of experience in the finance industry. Dominic Caputo has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Lincoln Financial Securities Amherst, NH Jul 2008 - Current 8
Jefferson Pilot Securities Bedford, NH Apr 2005 - Jul 2008 3
Brophy Financial Advisory Group Bedford, NH Apr 2005 - Oct 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1998
S66 NASAA Uniform Combined State Law Examination Apr 2003
Contact Info for Dominic M. Caputo
Phone Number: 800-258-3648
Registered State(s):
  • NH
By the Numbers
  • Total Assets Under Management
    1,541
    MILLIONS
  • Total Number of Accounts
    8,357
    ACCOUNTS
  • Average Account Value
    $184,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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