Lawrence Caito
Professional Summary
Lawrence Caito was a registered financial advisor. Lawrence was a previously registered financial professional and started their career in finance 1968 - 1995. Lawrence had worked at 3 firms and has passed the Series 1, Series 26, F04 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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
58 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITAL SHARES INC.
Contact Information
Established
Rhode Island since 10/07/1970Firm Type
CorporationFiscal Year End
DecemberDocuments
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Nov 1968Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 1992About the Series 26 examF04 — Financial Principal Examination
Passed Jan 1974Series 00 — General Securities Principal Examination
Passed Nov 1973Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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