Mark Caputo is a registered investment advisor at Wells Fargo Advisors, based in Denton, TX, with 46 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
101 South Locust Street, Denton, TX, 76201
Get directionsHistory
Regulatory History (3)
Customer Dispute
March 2008Customer Dispute
March 2008Customer Dispute
June 1993Other Business Activities
Mark has 100% ownership of Sage Natural Resources, LLC, a gas drilling lease company, since 2013. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Advisors
Previous Registrations
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Bateman Eichler, Hill Richards, IncorporatedBroker
Lehman Brothers Kuhn Loeb IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Smith Barney, Harris Upham & CO., IncorporatedBroker
State Registrations9 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.
Exams
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