Paul Vincent Caputo
Investment adviser representative at LPL Financial LLC
10 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
10 years in the industry.
- LPL Financial LLCOct 2024 to now
- BMO Bank, N.A.Sep 2022 to now
- Caputo Financial Services LLCJul 2021 to Sep 2022
- Elevated Capital Advisors, LLCJul 2021 to Aug 2022
- The Prudential Insurance Company of AmericaFeb 2019 to Jun 2021
- Pruco Securities LLCDec 2018 to Jun 2021
- Mutual of Omaha Investor ServicesOct 2018 to Nov 2018
- Empire Today, Today's SalesApr 2017 to Sep 2017
- Segregation HoldingSep 2016 to Dec 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2024
- Series 65 · Uniform Investment Adviser Law2026
State registrations
Registered as an investment adviser representative in 1 state (IL).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7039327
- Firm CRD
- 6413