Scott Pieter Caputo

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 07/2015 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 08/2015 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2011-10-26 → 2015-08-08
  Barclays Capital Inc.
  New York, NY

Other Businesses

I*112708FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: PARKINSON'S FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS:NEW YORK, NEW YORK 10018NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 3/1/2018NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THE PARKINSON'S FOUNDATION RAISES MONEY FOR A CURE AND TREATMENT FOR PARKINSON'S DISEASE. I HAVE BEEN ASKED TO JOIN THE COMMITTEE FOR ITS ANNUAL SPRING GALA. I*2004263Entity Type: Entity For ProfitName of OBA: Camp 328 LLCAddress:New York New YorkInvestment Related:NoPosition, Title, Association:OwnerStart Date:10/01/2024No Hours: 0 YearlyNo Hours during trading:0Duties:We are making a real estate purchase for a second home and would like to make the purchase in an LLC. We do not have an intention of renting the house/property out at all. However, my wife and would like the option of doing so. If we were to ever start renting out the property we would 1) disclose if we started to rent the property out and 2) never rent to existing clients under any circumstance. Between my wife and I, we will owe 100% of the LLC I*2707299, Entity Type: , Name of OBA: Estate of E C, Address: New York, New York, 10075, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 08/07/2025, No Hours: 3 Weekly, No Hours during Trading: 1 Weekly, Duties: I*2707301, Entity Type: Fiduciary role Name of OBA: E C 2015 Revocable Trust , Address: New York , New York, 10075, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 08/07/2025, No Hours: 3 Weekly, No Hours during Trading: 2 Weekly, Duties: I*2728290, Entity Type: Fiduciary role Name of OBA: S P C EXEC A M C JR EXEC EST OF E C, Address: New York, New York, 10075, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 08/12/2025, No Hours: 3 Weekly, No Hours during Trading: 2 Weekly, Duties: Executor I*2762303, Entity Type: Fiduciary role Name of OBA: A M C JR TTEE S P C TTEE U/A DTD 10/27/2, Address: Greenwich, Connecticut, 06830, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 08/19/2025, No Hours: 3 Weekly, No Hours during Trading: 2 Weekly, Duties: Executor I*4292265 Entity Type: Fiduciary role Name of OBA: S. P C. TTEE U/A DTD 10/27/2015 BY A. M C. Address: Greenwich, Connecticut, 6830 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 04/03/2026 Number of Hours: 0 Number of Hours during trading: 0 Duties: Co-Trustee/Child/Grandchild I*4422283 Entity Type: Fiduciary role Name of OBA: S. P C. TTEE U/A DTD 10/27/2015 BY A. M C. Address: Greenwich, Connecticut, 6830 Investment Related: No Position, Title, Association: Executor Employee Start Date: 05/13/2026 Number of Hours: 0 Number of Hours during trading: 0 Duties: Executor/Child/Grandchild

Exams

• S66 Uniform Combined State Law Examination
  2011-10-25
• S63 Uniform Securities Agent State Law Examination
  2005-09-26