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Christopher Caputo

Cetera Investment Advisers LLC
39 Years of Experience
Eatontown, NJ
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Christopher Caputo is a registered investment advisor at Cetera Investment Advisers LLC, based in Eatontown, NJ, with 39 years of industry experience. Christopher is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

442 Highway 35 South, Bldg A 1st Floor, Eatontown, NJ, 07724

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
October 2020
Final
Customer Dispute
September 2017
Settled
Employment Separation After Allegations
December 2014
Customer Dispute
June 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Christopher owns Caputo Asset Management, LLC, established in 2015, for tax purposes related to expense management. He dedicates minimal time to this activity.

Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 7 mos
Cetera Advisors LLCBroker
June 2022 - Present · 4 yrs 4 mos
Cetera Advisors LLC
June 2022 - Present · 4 yrs 4 mos
Previous Registrations
Cetera Advisors LLC
July 2022 - March 2024 · 1 yr 8 mos
National Asset Management, INC.
June 2016 - June 2022 · 6 yrs
National Securities CorporationBroker
January 2015 - June 2022 · 7 yrs 5 mos
Wells Fargo Advisors, LLCBroker
February 2011 - January 2015 · 3 yrs 11 mos
Wells Fargo Advisors, LLC
February 2011 - January 2015 · 3 yrs 11 mos
UBS Financial Services INC.
January 2006 - February 2011 · 5 yrs 1 mo
UBS Financial Services INC.Broker
January 2006 - February 2011 · 5 yrs 1 mo
Morgan Stanley
June 2002 - January 2006 · 3 yrs 7 mos
Morgan Stanley Dw INC.Broker
January 1998 - January 2006 · 8 yrs
Painewebber IncorporatedBroker
July 1992 - February 1998 · 5 yrs 7 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
June 1989 - July 1992 · 3 yrs 1 mo
Drexel Burnham Lambert IncorporatedBroker
April 1987 - August 1989 · 2 yrs 4 mos
State Registrations16 states
CADEFLINMIMNMTNCNJNVNYOHORPATXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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