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JC

James A. Caputo

Some features on this profile are disabled
CRD#: 4390570
JC

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.

James Arthur Caputo was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2001. James had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.

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

November 4, 2013 - October 8, 2014

RISE FINANCIAL SERVICES, LLC

BD
CRD#: 146103
MIAMI BEACH, FL
Past

May 2, 2011 - July 25, 2013

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
NEW YORK, NY
Past

December 16, 2010 - April 11, 2011

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

January 28, 2010 - October 22, 2010

FORMATION HOLDINGS, LLC

BD
CRD#: 150089
NEW YORK, NY
Past

November 7, 2008 - April 21, 2009

VTRADER PRO, LLC

BD
CRD#: 131920
SAN FRANCISCO, CA
Past

October 15, 2008 - August 17, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

February 29, 2008 - June 20, 2008

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 2, 2007 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

February 3, 2005 - January 2, 2007

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

April 27, 2004 - September 9, 2004

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY
Past

March 22, 2004 - April 29, 2004

R. F. LAFFERTY & CO., INC.

BD
CRD#: 2498
NEW YORK, NY
Past

November 24, 2003 - April 16, 2004

HAMPTON SECURITIES (USA), INC.

BD
CRD#: 46816
TORONTO, ONTARIO,
Past

November 19, 2001 - February 5, 2002

TRINIX SECURITIES LLC

BD
CRD#: 103360
ENCINITAS, CA
Past

October 5, 2001 - November 15, 2001

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

June 1, 2001 - June 18, 2001

NEWOAK CAPITAL MARKETS LLC

BD
CRD#: 104063
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 11/14/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/8/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/31/2001
General Securities Representative Examination

Current Firm

RF
RISE FINANCIAL SERVICES, LLC
CADENA CAPITAL GROUP, INC. | WPS PRIME SERVICES, LLC | WEEDEN PRIME SERVICES, LLC. | SAXIS GROUP, LLC. | SAXIS GROUP, INC. | SAXIS GROUP | RISE FINANCIAL SERVICES, LLC

CRD#: 146103 / SEC#: , 8-67787

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
653 Collins Avenue, Miami Beach, FL 33139
Mailing Address
653 Collins Avenue, Miami Beach, FL 33139
Phone number
(212) 644-2400
Established
Delaware since 12/13/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SIEBERT FINANCIAL CORP.OWNER
GEBBIA, GLORIA ESTELLEOWNER2126152
BONO, RONALD ROSSCCO1247269
REICH, ANDREW HENRYCFO1966909
REICH, ANDREW HENRYCEO1966909

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

RISE FINANCIAL SERVICES, LLC

CRD#: 146103

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