Dariusz A Caputa

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 07/2004 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 06/2006 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2009 → Present
  Caputa & Associates, Ltd
  Des Plaines, IL

Other Businesses

1)CAPUTA & ASSOCIATES, LTD; DES PLAINES, IL; CPA/ TAX PRACTICE AND DBA NAME FOR INVESTMENT PRACTICE; INV RELATED; PRESIDENT; START DATE OF 09/2009; 140 HRS/MONTH DURING SECURITIES TRADING HRS, 160 HRS/MONTH TOTAL:

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-09-25
• S63 Uniform Securities Agent State Law Examination
  2004-08-31
• S66 Uniform Combined State Law Examination
  1999-02-15