Dominic Michael Caputo

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2008 → 05/2024
  Lincoln Financial Securities Corporation
  Amherst, NH
• 05/2024 → Present
  Lpl Financial
  Amherst, NH

Previous Registrations

• 2005-05-09 → 2024-05-17
  Osaic Fs, Inc.
  Bedford, NH
  Bedford, NH
  Bristol, NH
  Laconia, NH
• 2005-06-09 → 2006-10-31
  Brophy Wealth Management, Llc
  Beddford, NH
• 2003-08-01 → 2005-04-25
  Strategic Advisers Llc
  Merrimack, NH

Other Businesses

1) 04/2024 - Caputo Financial Group LLC / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 4 Hrs per month - 5% Time Spent 2) 04/2024 - Caputo Financial Group, LLC / Non-Variable Insurance / Inv. Related / Amherst, NH / Start date 04/26/2018 - 2 Hrs per month - 1 % Time Spent 3) 04/2024 - Dominic M Caputo / Co-Owner / Real Estate Rental / NH 03031-2330 / Start date 06/23/2016 - 1 Hrs per month - 1% Time Spent

Exams

• S66 Uniform Combined State Law Examination
  2003-04-24
• S63 Uniform Securities Agent State Law Examination
  1998-08-06

Designations

• Certified Financial Planner