A M. 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.
A Macdonald Caputo was a registered financial professional .
A is a previously registered financial professional and started their career in finance in 1970. A had worked at 4 firms and has passed the SIE, Series 41, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2000 - November 7, 2017
MORGAN STANLEY & CO. LLC
April 23, 1974 - June 8, 1998
MORGAN STANLEY & CO. LLC
March 15, 1974 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
February 14, 1973 - March 2, 1974
SALOMON BROTHERS INC.
February 24, 1970 - January 18, 1973
DREXEL FIRESTONE INCORPORATED
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 41
Date: 3/17/1984
NYSE Allied Member ExaminationSeries 1
Date: 2/16/1970
Registered Representative ExaminationSeries 40
Date: 6/21/1976
Registered Principal ExaminationCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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