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LC

Lawrence Caito

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CRD#: 38167
LC

Professional summary

Lawrence Caito was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lawrence is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Lawrence had worked at 3 firms, which includes CAPITAL SHARES INC., MUTUAL INVESTORS OF RHODE ISLAND INC, DIVERSIFIED INVESTMENTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 18, 1973 - May 9, 1995

CAPITAL SHARES INC.

BD
CRD#: 5448
Past

August 11, 1972 - September 27, 1973

MUTUAL INVESTORS OF RHODE ISLAND INC

BD
CRD#: 1000004
Past

December 7, 1970 - May 9, 1995

CAPITAL SHARES INC.

BD
CRD#: 5448
NORTH PROVIDENCE, RI
Past

November 11, 1968 - September 17, 1971

DIVERSIFIED INVESTMENTS, INC.

BD
CRD#: 1657

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 11/5/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/16/1992
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
F04
Date: 1/26/1974
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 11/3/1973
General Securities Principal Examination

Current Firm

CS
CAPITAL SHARES INC.
CAPITAL SHARES INC.

CRD#: 5448 / SEC#: , 8-16157

BD
Terminated by SEC on 07/16/1995
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Contact information

Main Address
Mailing Address
Phone number
Established
Rhode Island since 10/07/1970
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Red Flags

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.

Company Information

CAPITAL SHARES INC.

CRD#: 5448

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