Peter John Caputo
Professional Summary
Peter John Caputo, who also goes by Peter John Caputo, Peter Caputo, is a registered financial advisor 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Peter John Caputo, Peter Caputo
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Videos & Posts
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Contact Information
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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
29 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FUTU INC | MOOMOO FINANCIAL INC. | MOOMOO FINANCIAL INC
Contact Information
Main Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311Mailing Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311Phone Number
(650) 798-5700Established
Delaware since 12/17/2015Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUTU US INC | SHAREHOLDER | — |
| CATARROJA, ALEX M. | CHIEF COMPLIANCE OFFICER | 4151962 |
| CHAN, WING KEI | MANAGING DIRECTOR | 6616753 |
| DU, SHUANG | HEAD OF US OPERATIONS | 5005050 |
| JABLONSKI, RICHARD MICHAEL | CHIEF FINANCIAL OFFICER | 2916358 |
| MCDONALD, NEIL ANTHONY | CEO | 1764574 |
| PALMER, NATHAN TYLER | PRESIDENT | 5805173 |
| PARSONS, DARREN JAMES | CHIEF OPERATIONS OFFICER | 2382680 |
| SHARMA, VICKRAMJIT | CHIEF LEGAL OFFICER | 7186502 |
Disclosures
Regulatory Event
2Arbitration
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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
(12/16/2024)
(8/4/2025)
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 Dec 1998SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Peter John Caputo's CRS (Customer Relationship Summary).
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