Anthony Ralph Caputo Ii
Professional Summary
Anthony Ralph Caputo II, who also goes by Anthony Caputo, was a registered financial advisor. Anthony was a previously registered financial professional and started their career in finance 1994 - 2018. Anthony had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 55, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Anthony Caputo
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
FORTE SECURITIES LLC | W.R. MASSIE CAPITAL, L.L.C. | SOUTHLAKE CAPITAL, L.L.C. | MASSIE (W.R.) CAPITAL, L.L.C.
Contact Information
Established
Delaware since 10/19/2021Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 1999Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1996Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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