John S. 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.
John S Caputo, who also goes by John Caputo, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2015 - August 21, 2024
BBVA SECURITIES INC.
September 9, 2013 - April 6, 2015
CANACCORD GENUITY LLC
March 1, 2013 - September 3, 2013
SANTANDER US CAPITAL MARKETS LLC
November 14, 2011 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
September 17, 2009 - December 15, 2010
BARCLAYS CAPITAL INC.
September 10, 2009 - December 15, 2010
BARCLAYS CAPITAL INC.
January 7, 2005 - May 2, 2007
FHN FINANCIAL SECURITIES CORP.
December 21, 1998 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 14, 1998 - October 16, 1998
TULLETT PREBON FINANCIAL SERVICES LLC
October 2, 1997 - May 18, 1998
TULLETT LIBERTY BROKERAGE 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: 12/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
BBVA SECURITIES INC.
CRD#: 27060 / SEC#: , 8-42857
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BBVA USD INVESTMENTS, S.A. | OWNER | |
| ALARCON GONZALEZ, LUIS FRANCISCO | DIRECTOR | 7560286 |
| CANGCUESTA, KRISTINE FAITH | US HEAD OF BSA/AML | 8096305 |
| GIL HERNANDEZ, REGINA | DIRECTOR | 5774494 |
| JENSEN, PETER EGELUND | DIRECTOR, CEO & MANAGING DIRECTOR, INSTITUTIONAL; CHAIRMAN OF THE BOARD | 2596069 |
| MOSCARA, STEPHEN MICHAEL | DIRECTOR, EXECUTIVE VICE PRESIDENT AND FINOP | 4564002 |
| MURPHY, COLIN A | OPERATIONS PRINCIPAL INSTITUTIONAL | 4274816 |
| NEEL, DAVID SULLIVAN JR | CO-CCO, SENIOR VICE PRESIDENT, DIRECTOR OF RETAIL COMPLIANCE | 1884109 |
| RAGHAVAN, PRIYA | DIRECTOR | 6485341 |
| SCHUBERT, PHILIP MICHAEL | DIRECTOR | 5285568 |
| SOHN, DONG B | CHIEF FINANCIAL OFFICER | 5115452 |
| SPINELLI, JOSEPH CHARLES | CO-CCO, VICE PRESIDENT, HEAD OF INSTITUTIONAL COMPLIANCE | 2436743 |
| SWAMMY, SARAH ALEXANDRA | DIRECTOR | 4010520 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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