Daphne Caperton is a registered investment advisor, based in Boston, MA, with 28 years of industry experience.
Location
10 Post Office Square, Suite 600, Boston, MA, 02109
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Daphne is a trustee of the Beacon on the Charles Condominium Association, dedicating a few hours per week. She also owns an apartment, which is not investment-related.
Employment History
Current Registrations
B. Riley Wealth ManagementBroker
July 2022 - Present · 3 yrs 10 mos
B. Riley Wealth Advisors, INC.
March 2021 - Present · 5 yrs 2 mos
Previous Registrations
National Securities CorporationBroker
March 2021 - July 2022 · 1 yr 4 mos
Winslow Wealth Management LLC
January 2018 - March 2021 · 3 yrs 2 mos
Winslow Wealth Management LLC
December 2014 - December 2017 · 3 yrs
Winslow, Evans & Crocker, INC.
July 2012 - March 2021 · 8 yrs 8 mos
Winslow, Evans & Crocker, INC.Broker
October 2002 - March 2021 · 18 yrs 5 mos
H.C. Wainwright & CO., INC.Broker
June 1997 - October 2002 · 5 yrs 4 mos
State Registrations27 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.