Michael L. Caputo

VITALE & CAPUTO WEALTH MANAGEMENT LLC

Danvers, MA 01923

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CRD#: 5021176

Professional summary

Michael L Caputo is a registered financial advisor currently at VITALE & CAPUTO WEALTH MANAGEMENT LLC located in Danvers, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

(1)CPA-Owner of CPA firm-Caputo & Company, PC-from Danvers, MA-40hrs sec, 0hrs nonsec-since 06/1986 (2) Managing member-S.M. Equipment LLC-leasing company-from Danvers, MA-1hrs sec, 0hrs nonsec-since 12/2005 (3) Member / COO-Vitale & Caputo Wealth Management LLC-from Danvers, MA-15hrs sec, 7hrs nonsec-since 01/2016

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael L Caputo's CRS (Customer Relationship Summary).

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

Current

June 26, 2018 - Present

VITALE & CAPUTO WEALTH MANAGEMENT LLC

Office #1: 99 Conifer Hill Drive Suite 202, Danvers, MA 01923

RIA

CRD#: 289420

Danvers, MA

Past

March 25, 2017 - September 7, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Danvers, MA

Past

March 25, 2017 - September 7, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

Danvers, MA

Past

January 30, 2017 - September 7, 2017

MARINER

RIA

CRD#: 151664

Danvers, MA

Past

December 17, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

Danvers, MA

Past

December 15, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

Danvers, MA

Past

March 22, 2010 - December 21, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

BOSTON, MA

Past

November 23, 2009 - December 21, 2015

LPL FINANCIAL LLC

CRD#: 6413

BOSTON, MA

Past

October 19, 2007 - October 15, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

DANVERS, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(6/26/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/19/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/18/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VITALE & CAPUTO WEALTH MANAGEMENT LLC

CRD#: 289420 / SEC#:

Massachusetts

Registered Investment Advisory firm - (6/26/2018 Approved)

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Contact information

Main Address

99 Conifer Hill Drive Suite 202, Danvers, MA 01923

Mailing Address

Phone number

(978) 777-7001

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael L. Caputo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael L Caputo's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MARINER

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/19/2010

Series 63

Date: 11/19/2007

SIE

Date: 9/7/2017

Series 6

Date: 10/18/2007

Current Firm

VITALE & CAPUTO WEALTH MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

VITALE & CAPUTO WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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