Ralph C. 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.
Ralph Chris Caputo, who also goes by Chris Caputo, Ralph Christopher Caputo, Ralph Caputo, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1988. Ralph had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2012 - April 30, 2013
PRUCO SECURITIES, LLC.
May 2, 2012 - October 31, 2012
VALIC FINANCIAL ADVISORS, INC.
April 23, 2012 - October 31, 2012
VALIC FINANCIAL ADVISORS, INC.
February 20, 2009 - November 3, 2011
TD AMERITRADE, INC.
February 20, 2009 - November 3, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 20, 2009 - November 3, 2011
TD AMERITRADE, INC.
April 2, 2007 - December 3, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - December 3, 2008
MORGAN STANLEY & CO. LLC
October 19, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
October 19, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
March 22, 2005 - October 9, 2006
CITIGROUP GLOBAL MARKETS INC.
March 22, 2005 - October 9, 2006
CITIGROUP GLOBAL MARKETS INC.
July 8, 1997 - November 23, 2004
CHARLES SCHWAB & CO., INC.
March 28, 1991 - November 23, 2004
CHARLES SCHWAB & CO., INC.
November 23, 1990 - April 15, 1991
CAPITAL BROKERAGE CORPORATION
November 1, 1988 - October 2, 1990
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
Series 8
Date: 10/19/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
