Anthony 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.
Anthony Ralph Caputo II, who also goes by Anthony Caputo, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1994. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2017 - October 15, 2018
FORTE SECURITIES LLC
October 27, 2009 - September 2, 2011
MF GLOBAL INC.
April 26, 2002 - May 9, 2007
DEUTSCHE BANK SECURITIES INC.
July 17, 2000 - April 17, 2002
J.P. MORGAN CLEARING CORP.
July 17, 2000 - April 17, 2002
J.P. MORGAN SECURITIES LLC
February 9, 1999 - May 16, 2000
CITADEL TRADING GROUP L.L.C.
March 9, 1994 - September 18, 1998
LEHMAN BROTHERS 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
Series 55
Date: 7/14/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 8/6/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORTE SECURITIES LLC
CRD#: 38373 / SEC#: , 8-48201
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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