Gregory R. Caputo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gregory Ralph Caputo, who also goes by Gregory Caputo Radcliffe, Gregory Radcliffe, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1988. Gregory had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - August 30, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 7, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
April 28, 1992 - March 17, 1998
FIRST COLONIAL SECURITIES
August 8, 1991 - May 11, 1992
LEHMAN BROTHERS INC.
October 25, 1990 - August 5, 1991
UBS FINANCIAL SERVICES INC.
February 20, 1990 - October 30, 1990
FIRST MONTAUK SECURITIES CORP.
January 31, 1990 - March 1, 1990
JJC SECURITIES CO., INC.
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
May 25, 1988 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
February 9, 1988 - May 28, 1988
PHILIPS, APPEL & WALDEN, INC.
January 19, 1988 - February 8, 1988
GRAYSTONE NASH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
