Christopher N. Caputo

CETERA INVESTMENT ADVISERS LLC

Eatontown, NJ 07724

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CRD#: 1389962

Professional summary

Christopher Nicholas Caputo, who also goes by Christopher N Caputo, Christopher Caputo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eatontown, New Jersey and CETERA ADVISORS LLC located in Eatontown, New Jersey.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Christopher has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher N Caputo | Christopher Caputo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. NAME OF OTHER BUSINESS: CAPUTO ASSET MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 05/2015, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC FOR TAX PURPOSES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Nicholas Caputo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 442 Highway 35 South Bldg A 1st Floor, Eatontown, NJ 07724

RIA

CRD#: 105644

Eatontown, NJ

Current

June 30, 2022 - Present

CETERA ADVISORS LLC

Office #1: 442 Highway 35 South Bldg A 1st Floor, Eatontown, NJ 07724

CRD#: 10299

Eatontown, NJ

Past

July 5, 2022 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

Eatontown, NJ

Past

June 21, 2016 - June 21, 2022

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

EATONTOWN, NJ

Past

January 15, 2015 - June 21, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

EATONTOWN, NJ

Past

February 17, 2011 - January 6, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SPRING LAKE, NJ

Past

February 17, 2011 - January 6, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SPRING LAKE, NJ

Past

January 13, 2006 - February 24, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MANASQUAN, NJ

Past

January 13, 2006 - February 24, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MANASQUAN, NJ

Past

June 20, 2002 - January 17, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RED BANK, NJ

Past

January 16, 1998 - January 17, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

RED BANK, NJ

Past

July 1, 1992 - February 11, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 16, 1989 - July 7, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 3, 1987 - August 11, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/1/2022)

Delaware
(7/1/2022)

Florida
(7/1/2022)

Indiana
(7/26/2022)

Michigan
(7/6/2022)

Minnesota
(7/1/2022)

Montana
(7/5/2022)

Nevada
(7/12/2022)

New Jersey
(6/30/2022)

IAR

New Jersey
(3/21/2024)

New York
(8/1/2022)

North Carolina
(7/1/2022)

Ohio
(10/12/2022)

Oregon
(1/15/2025)

Pennsylvania
(7/1/2022)

IAR

Texas
(11/12/2024)

Texas
(11/13/2024)

Virginia
(7/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/11/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Christopher N. Caputo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Nicholas Caputo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/1995

Series 63

Date: 3/17/1987

SIE

Date: 10/1/2018

Series 7

Date: 2/21/1987

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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