Frank V. Caputo
Professional summary
Frank Vincent Caputo is a registered financial professional currently at MAXIM GROUP LLC located in Red Bank, New Jersey.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1998. Frank has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Vincent Caputo's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2020 - Present
MAXIM GROUP LLC
Office #1: 68 White Street 2nd Floor, Red Bank, NJ 07701July 13, 2016 - April 28, 2020
CREDIT SUISSE SECURITIES (USA) LLC
June 2, 2015 - June 22, 2016
THE VERTICAL GROUP
October 11, 2006 - June 1, 2015
VANDHAM SECURITIES CORP.
April 7, 2004 - September 12, 2006
TD WATERHOUSE CAPITAL MARKETS, INC.
July 18, 2000 - December 2, 2002
APEX CLEARING CORPORATION
March 24, 1998 - January 1, 1999
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/6/2020)
(4/6/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/3/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
Red Flags
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