Peter J. Caputo
Professional summary
Peter John Caputo, who also goes by Peter John Caputo, Peter Caputo, is a registered financial professional currently at FUTU CLEARING INC located in Jersey City, New Jersey and MOOMOO FINANCIAL INC. located in Jersey City, New Jersey.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1997. Peter has worked at 12 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter John Caputo's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 16, 2024 - Present
FUTU CLEARING INC
Office #1: 185 Hudson St - 5 Harborside Ste. 2602, Jersey City, NJ 07311August 4, 2025 - Present
MOOMOO FINANCIAL INC.
Office #1: 185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311June 12, 2018 - October 17, 2024
TEMPLUM MARKETS LLC
June 15, 2017 - May 23, 2018
J.P. MORGAN SECURITIES LLC
October 13, 2015 - November 11, 2016
DINOSAUR FINANCIAL GROUP, L.L.C
August 23, 2010 - September 4, 2014
RAFFERTY CAPITAL MARKETS, LLC
April 17, 2007 - August 25, 2010
LABRANCHE FINANCIAL SERVICES, LLC
June 3, 2004 - March 29, 2007
JEFFERIES LLC
July 22, 2003 - June 2, 2004
MILLENNIUM BROKERAGE, L.L.C.
January 9, 2003 - March 21, 2003
WM. V. FRANKEL & CO., INCORPORATED
January 9, 2002 - October 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 1997 - January 7, 2002
HERZOG, HEINE, GEDULD, 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
(12/16/2024)
(8/4/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 12/16/1998
Limited Representative-Equity Trader ExamFINRA
Current Firm
MOOMOO FINANCIAL INC.
CRD#: 283078 / SEC#: , 8-69739
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUTU US INC | SHAREHOLDER | |
| CHAN, WING KEI | MANAGING DIRECTOR | 6616753 |
| DU, SHUANG | HEAD OF US OPERATIONS | 5005050 |
| MCDONALD, NEIL ANTHONY | CEO | 1764574 |
| PALMER, NATHAN TYLER | PRESIDENT | 5805173 |
| PARSONS, DARREN JAMES | CHIEF OPERATIONS OFFICER | 2382680 |
| SHARMA, VICKRAMJIT | CHIEF LEGAL OFFICER | 7186502 |
| SHEN, QIUFANG | HEAD OF FINANCE | 3158926 |
| STIFELMAN, GLEN ROBERT | CHIEF COMPLIANCE OFFICER | 1699013 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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