KC
Kevin J. Caputo
APOLLON WEALTH MANAGEMENT
San Antonio, TX
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CRD#: 1772397
KC
Professional summary
Kevin James Caputo, CFP®, who also goes by Kevin James Caputo Mr., is a registered financial advisor currently at APOLLON WEALTH MANAGEMENT, LLC located in San Antonio, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin James Caputo Mr.
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) Apollon Wealth Management. Investment Related. At Registered Location. RIA. Wealth Management Advisor. Start Date: 10/11/2024. 160 hrs/ month; all during trading hours. Advise clients on investments and planning 2) Fixed Insurance. Investment Related. At Registered Location. Fixed / Traditional Insurance. Agent. Start Date: 10/11/2024. 4 hrs/ month; all during trading hours. Provide insurance advice based on the needs of client(s). 3) PKSF. Investment Related. At Registered Location. Fixed / Traditional Insurance. Agent. Start Date: 10/11/2024. 4 hrs/ month; all during trading hours. Provide insurance advice based on the needs of client(s). 4) Foscap Air LLC. Not Investment Related. 150 Hillview Dr. San Antonio, TX 78209. Holding Company. Own Plane. Start Date: 9/1/2024. 4 hrs/ month; none during trading hours. Collect leasing payments 5) Junior Achievement of Southern California. Not Investment Related. 6250 Forest Lawn Drive Los Angeles, CA 90068. Not for Profit Organization. Board Member. Start Date: 1/1/2012. 2 hrs/ month; none during trading hours. Provide Input and Volunteer to Teach Financial Literacy to Kids 6) SKY VIEW LANE, LLC. Not Investment Related. 82658 Sky View Lane Indio, CA 92201. Property Services. Owner. Start Date: 9/14/2022. 4 hrs/ month; none during trading hours. Accept rental requests, collect rents, pay bills associated with properties. 7) Real Estate Rental(s). Not Investment Related. Various Locations. Real Estate Rental. Owner. Start Date: 1/1/2014. 4 hrs/ month; none during trading hours. Accept rental requests, collect rents, pay bills associated with properties. 8) FOSCAP, LLC. Not Investment Related. 4607 RO Drive Spicewood 78669. Real Estate Rental. Owner. Start Date: 11/7/2017. 4 hrs/ month; none during trading hours. Accept rental requests, collect rents, pay bills associated with properties.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin James Caputo's 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®
CFP®
Start date: 2002
Experience
Current
November 1, 2024 - Present
APOLLON WEALTH MANAGEMENT, LLC
RIA
CRD#: 291902
San Antonio, TX
Current
December 18, 2024 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 1901 Avenue Of The Stars Suite 570, Los Angeles, CA 90067BD
CRD#: 35747
ALBANY, NY
Past
January 15, 2016 - November 21, 2024
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
San Antonio, TX
Past
January 15, 2016 - November 21, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
BEVERLY HILLS, CA
Past
February 27, 2009 - January 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LOS ANGELES, CA
Past
February 27, 2009 - January 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LOS ANGELES, CA
Past
July 3, 2006 - March 19, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LOS ANGELES, CA
Past
July 3, 2006 - March 19, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOS ANGELES, CA
Past
January 7, 2002 - July 5, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CENTURY CITY, CA
Past
February 1, 2000 - July 5, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CENTURY CITY, CA
Past
September 3, 1999 - January 21, 2000
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
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".
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
Registered Investment Advisory firm - (1/22/2018 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.RR
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
IAR
California(11/4/2024)
RR
California(12/20/2024)
RR
Nevada(12/23/2024)
RR
Oregon(12/22/2024)
IAR
Texas(11/1/2024)
RR
Texas(12/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
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Contact information
Main Address
111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464
Mailing Address
Phone number
(843) 579-0018
Established
Firm type
Fiscal year end
# of Employees
179
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,798 |
| AUM (Assets Under Management) | $ 7,720,756,861 |
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.
