Christopher M. Capano

M. KRAUS & COMPANY

SHELBURNE, VT 05482

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CRD#: 2033819

Professional summary

Christopher Michael Capano is a registered financial advisor currently at M. KRAUS & COMPANY located in Shelburne, Vermont.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Christopher has worked at 5 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Michael Capano'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

April 26, 2005 - Present

M. KRAUS & COMPANY

Office #1: Building A, Suite 7-c 4076 Shelburne Road, Shelburne, VT 05482

RIA

CRD#: 106749

SHELBURNE, VT

Past

November 26, 2002 - May 5, 2003

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

January 27, 2000 - November 14, 2002

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

February 13, 1996 - January 31, 2000

PXP SECURITIES CORP.

CRD#: 22898

HARTFORD, CT

Past

March 12, 1994 - December 31, 1995

WATERMARK SECURITIES, INC.

CRD#: 28683

NEW YORK, NY

Past

August 26, 1991 - October 18, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

M. KRAUS & COMPANY

M. KRAUS & COMPANY | M.KRAUS & COMPANY

CRD#: 106749 / SEC#: 801-52060

RIA

Registered Investment Advisory firm - (5/29/1996 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.

Highlighted states indicate IAR registrations

IAR

Texas
(8/7/2017)

IAR

Vermont
(4/26/2005)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/25/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 8/23/1991

General Securities Representative Examination

Current Firm

M. KRAUS & COMPANY

M. KRAUS & COMPANY | M.KRAUS & COMPANY

CRD#: 106749 / SEC#: 801-52060

RIA

Registered Investment Advisory firm - (5/29/1996 Approved)

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Contact information

Main Address

4076 Shelburne Road Building A, Suite 7-c, Shelburne, VT 05482

Mailing Address

P.o. Box 9, Shelburne, VT 05482

Phone number

(802) 985-2620

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

M. KRAUS & COMPANY ADV PART 2A (4/24/2025)

Regulatory assets under management

Total Number of Accounts	486
AUM (Assets Under Management)	$ 523,512,825

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/06/2025	Cover Page	Report
03/25/2024	Cover Page	Report
03/29/2023	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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Christopher M. Capano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Michael Capano's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

VP DISTRIBUTORS LLC

PXP SECURITIES CORP.

WATERMARK SECURITIES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

M. KRAUS & COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 4/25/2005

Series 7

Date: 8/23/1991

Current Firm

M. KRAUS & COMPANY

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

M. KRAUS & COMPANY

TRUST BUT VERIFY

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