Joseph A. Caputo

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

Columbia, MD 21044

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CRD#: 5118602

Professional summary

Joseph Anthony Caputo, CFP® is a registered financial advisor currently at BALTIMORE-WASHINGTON FINANCIAL ADVISORS located in Columbia, Maryland.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Joseph has worked at 3 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 9 and Series 10 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Caputo's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

November 12, 2012 - Present

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

Office #1: 5950 Symphony Woods Rd. Suite 600, Columbia, MD 21044

RIA

CRD#: 159388

Columbia, MD

Past

February 20, 2008 - September 18, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ANNAPOLIS, MD

Past

August 20, 2007 - September 18, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ANNAPOLIS, MD

Past

August 1, 2006 - July 9, 2007

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

OWINGS MILLS, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

BALTIMORE-WASHINGTON FINANCIAL ADVISORS | BALTIMORE-WASHINGTON FINANCIAL ADVISORS, INC.

CRD#: 159388 / SEC#: 801-76893

RIA

Registered Investment Advisory firm - (6/29/2012 Approved)

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

Maryland
(11/12/2012)

IAR

Texas
(11/13/2015)

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: 2/19/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 3/29/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/10/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/25/2009

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/9/2009

General Securities Sales Supervisor - General Module Examination

Current Firm

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

BALTIMORE-WASHINGTON FINANCIAL ADVISORS | BALTIMORE-WASHINGTON FINANCIAL ADVISORS, INC.

CRD#: 159388 / SEC#: 801-76893

RIA

Registered Investment Advisory firm - (6/29/2012 Approved)

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Contact information

Main Address

10960 Grantchester Way Suite 110, Columbia, MD 21044

Mailing Address

Phone number

(410) 461-3900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BWFA ADV PART 2 BROCHURE (10/24/2025)

Regulatory assets under management

Total Number of Accounts	4,975
AUM (Assets Under Management)	$ 2,828,296,993

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.

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Advisor Monitoring

Firm Stability Insights

Joseph A. Caputo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Caputo's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/19/2008

Series 63

Date: 11/2/2006

Series 31

Date: 3/29/2010

Series 7

Date: 10/10/2007

Series 6

Date: 7/31/2006

Series 9

Date: 11/25/2009

Series 10

Date: 9/9/2009

Current Firm

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

TRUST BUT VERIFY

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