John Caputo, financial advisor West Lebanon NH
93 score

John Caputo

CRD Number: 1438003
Current Firm: Wells Fargo Advisors Financial Network, LLC

John Caputo (CRD# 1438003) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in West Lebanon, NH and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors Financial Network LLC West Lebanon, NH Jan 2011 - Current 5
Morgan Stanley Smith Barney Lebanon, NH Jun 2009 - Jan 2011 1
Morgan Stanley & Company, Incorporated West Lebanon, NH Apr 2007 - Jun 2009 2
Morgan Stanley Dw Inc. West Lebanon, NH Sep 2002 - Apr 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1986
S65 NASAA Investment Advisors Law Examination Feb 1996
Contact Info for John C. Caputo
Phone Number: 314-875-3000
Firm Website: http://www.wachovia.com
Registered State(s):
  • NH
By the Numbers
  • Total Assets Under Management
    38,415
    MILLIONS
  • Total Number of Accounts
    131,465
    ACCOUNTS
  • Average Account Value
    $292,208
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
  • Pension consulting services
  • 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, 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
93
Clean Record
This advisor has a clean track record with regulators.

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