Albert A. Caporaso

ALBERT A. CAPORASO & ASSOCIATES

WILMINGTON, DE 19805

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CRD#: 864370

Professional summary

Albert Arthur Caporaso, who also goes by Al Caporaso, Albert Arthur Caporaso Jr., is a registered financial advisor currently at ALBERT A. CAPORASO & ASSOCIATES, INC. located in Wilmington, Delaware.

Albert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Albert has worked at 6 firms and has passed the Series 63, Series 7, Series 53, Series 12, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Al Caporaso | Albert Arthur Caporaso Jr.

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 Albert Arthur Caporaso'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

January 1, 1992 - Present

ALBERT A. CAPORASO & ASSOCIATES, INC.

Office #1: 1013 Centre Raod Suite 100, Wilmington, DE 19805

RIA

CRD#: 104837

WILMINGTON, DE

Past

April 28, 1989 - November 1, 1990

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

Past

April 11, 1988 - June 28, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 22, 1986 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

December 22, 1981 - October 14, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

October 18, 1979 - November 25, 1981

MORGAN STANLEY DW INC.

CRD#: 7556

Past

April 2, 1979 - November 2, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Delaware
(1/1/1992)

IAR

Pennsylvania
(5/25/2012)

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

Series 63

Date: 8/27/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/24/1982

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 12

Date: 10/17/1981

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 10/7/1981

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/5/1981

Registered Options Principal Examination

Current Firm

ALBERT A. CAPORASO & ASSOCIATES, INC.

ALBERT A. CAPORASO & ASSOCIATES, INC. | CAPORASO ALBERT A & ASSOCIATES INC.

CRD#: 104837 / SEC#: 801-33207

RIA

Registered Investment Advisory firm - (7/18/2012 Terminated)

Delaware

Registered Investment Advisory firm - (6/22/2012 Approved)

Maryland

Registered Investment Advisory firm - (2/23/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Wilmington, DE

Mailing Address

Phone number

(302) 998-9898

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 35,941,551

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

Albert A. Caporaso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert Arthur Caporaso's CRS (Customer Relationship Summary).

Certified licenses

Experience

1717 CAPITAL MANAGEMENT COMPANY

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/1980

Series 7

Date: 3/17/1979

Series 53

Date: 3/24/1982

Series 12

Date: 10/17/1981

Series 24

Date: 10/7/1981

Series 4

Date: 10/5/1981

Current Firm

ALBERT A. CAPORASO & ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALBERT A. CAPORASO & ASSOCIATES, INC.

TRUST BUT VERIFY

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