Paul Vincent 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

• 12/2018 → 06/2021
  Pruco Securities Llc
  Downers Grove, IL
• 10/2018 → 11/2018
  Mutual Of Omaha Investor Services
  Oak Brook, IL
• 09/2016 → 12/2018
  Segregation Holding
  Boulder, CO
• 04/2017 → 09/2017
  Empire Today, Today's Sales
  Denver, CO
• 04/2016 → 09/2016
  Unemployed
  Boulder, CO
• 02/2019 → 06/2021
  The Prudential Insurance Company Of America
  Downers Grove, IL
• 07/2021 → 08/2022
  Elevated Capital Advisors, Llc
  Sandy, UT
• 07/2021 → 09/2022
  Caputo Financial Services Llc
  Naperville, IL
• 09/2022 → Present
  Bmo Bank, N.A.
  Naperville, IL
• 10/2024 → Present
  Lpl Financial
  Naperville, IL

Previous Registrations

• 2021-07-14 → 2022-08-03
  Elevated Capital Advisors, Llc
  Naperville, IL
  Draper, UT
• 2019-04-02 → 2021-07-02
  Pruco Securities, Llc.
  Downers Grove, IL

Other Businesses

1- 09/2024 / BMO Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 2- 09/2024 / Notary / Notary / Investment Related / Naperville, IL / Start date: 11/03/2022 3- 09/2024 / BMO Investment Services / Financial Institution Duty / Investment Related / 160 hrs mth / 40 hrs during trading / Naperville IL / Start date: 09/30/2024

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-05-21
• S63 Uniform Securities Agent State Law Examination
  2024-11-04

Other Names

• Paul Vincent Caputo
• Paul Vincent Caputo