Charles Caputo
Professional summary
Charles Caputo JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Charles had worked at 5 firms, which includes FIRST MIDWEST SECURITIES INC., BASIC INVESTORS INC., INSTITUTIONAL EQUITY CORPORATION, JOSEPHTHAL & CO. INC., CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2008 - May 12, 2009
FIRST MIDWEST SECURITIES, INC.
July 13, 2000 - October 27, 2008
BASIC INVESTORS INC.
June 21, 2000 - July 25, 2000
INSTITUTIONAL EQUITY CORPORATION
September 17, 1998 - June 27, 2000
JOSEPHTHAL & CO., INC.
April 1, 1996 - August 10, 1998
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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