Kevin James Caputo

Current Employers

Employment History

• 01/2016 → 11/2024
  Rbc Capital Markets, Llc
  Century City, CA
• 01/2017 → 11/2024
  City National Bank
  Century City, CA
• 11/2024 → Present
  Apollon Wealth Management
  Los Angeles, CA
• 12/2024 → Present
  Pks Investments
  Albany, NY

Previous Registrations

• 2016-01-15 → 2024-11-21
  Rbc Capital Markets, Llc
  Beverly Hills, CA
  Century City, CA
  Las Vegas, NV
  San Antonio, TX
• 2009-02-27 → 2016-01-21
  Wells Fargo Clearing Services, Llc
  Los Angeles, CA
  Beverly Hills, CA
  Beverly Hills, CA
  Beverly Hills, CA
  Beverly Hills, CA
  Los Angeles, CA
• 2006-07-03 → 2009-03-19
  Citigroup Global Markets Inc.
  Los Angeles, CA
• 2002-01-07 → 2006-07-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Century City, CA
  Los Angeles, CA

Other Businesses

1) Apollon Wealth Management. Investment Related. At Registered Location. RIA. Wealth Management Advisor. Start Date: 10/11/2024. 160 hrs/ month; all during trading hours. Advise clients on investments and planning 2) Fixed Insurance. Investment Related. At Registered Location. Fixed / Traditional Insurance. Agent. Start Date: 10/11/2024. 4 hrs/ month; all during trading hours. Provide insurance advice based on the needs of client(s). 3) PKSF. Investment Related. At Registered Location. Fixed / Traditional Insurance. Agent. Start Date: 10/11/2024. 4 hrs/ month; all during trading hours. Provide insurance advice based on the needs of client(s). 4) Foscap Air LLC. Not Investment Related. 150 Hillview Dr. San Antonio, TX 78209. Holding Company. Own Plane. Start Date: 9/1/2024. 4 hrs/ month; none during trading hours. Collect leasing payments 5) Junior Achievement of Southern California. Not Investment Related. 6250 Forest Lawn Drive Los Angeles, CA 90068. Not for Profit Organization. Board Member. Start Date: 1/1/2012. 2 hrs/ month; none during trading hours. Provide Input and Volunteer to Teach Financial Literacy to Kids 6) SKY VIEW LANE, LLC. Not Investment Related. 82658 Sky View Lane Indio, CA 92201. Property Services. Owner. Start Date: 9/14/2022. 4 hrs/ month; none during trading hours. Accept rental requests, collect rents, pay bills associated with properties. 7) Real Estate Rental(s). Not Investment Related. Various Locations. Real Estate Rental. Owner. Start Date: 1/1/2014. 4 hrs/ month; none during trading hours. Accept rental requests, collect rents, pay bills associated with properties. 8) FOSCAP, LLC. Not Investment Related. 4607 RO Drive Spicewood 78669. Real Estate Rental. Owner. Start Date: 11/7/2017. 4 hrs/ month; none during trading hours. Accept rental requests, collect rents, pay bills associated with properties.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-02-28
• S63 Uniform Securities Agent State Law Examination
  1999-10-21

Designations

Other Names

• Kevin James Caputo