Dominic Caputo
Dominic Caputo is a CFP-designated registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
4707 Executive Dr, San Diego, CA, 92121-3091
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dominic operates Caputo Financial Group LLC as a DBA for his LPL business and also sells non-variable insurance through Caputo Financial Group, LLC, dedicating minimal time to each. He also co-owns real estate rental property, spending minimal time on it.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
Lincoln Financial Securities Corporation
Brophy Financial Advisory Group
Jefferson Pilot Securities CORP
Lincoln Financial Securities CorporationBroker
Strategic Advisers, INC.
Fidelity Brokerage Services LLCBroker
State Registrations22 states
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.