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Thomas Matthew Caputo

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Burlington, MA

Norwell, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-09-11
CT RA APPROVED 2004-05-04
  • TX RA
    APPROVED_RES
    Since 2022-09-11
  • CT RA
    APPROVED
    Since 2004-05-04

Branch Locations

25 Burlington Mall Rd, Burlington, MA 01803 • United States

Norwell, MA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Wellesley MA 03/2004 Present
Bank Of America, Na Burlington MA 11/2009 Present
  • 03/2004 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Wellesley, MA
  • 11/2009 → Present
    Bank Of America, Na
    Burlington, MA
Other Businesses

I*2133290, Entity Type: Fiduciary, Name of OBA: M E C 2002 Trust, Address: Norwell , Massachusetts, 02061, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 23-Dec-2024, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2133291, Entity Type: Fiduciary, Name of OBA: K M C 2003 Trust, Address: Norwell, Massachusetts, 02061, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 20-Dec-2024, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2133292, Entity Type: Fiduciary, Name of OBA: J L C 2002 Trust, Address: Norwell, Massachusetts, 02061, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 20-Dec-2024, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2153270, Entity Type: Fiduciary, Name of OBA: T M C TTEE U/A DT 11/11/03 BY M E C ET AL , Address: Norwell, Massachusetts, 02061, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 06-Jan-2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-14
S63 Uniform Securities Agent State Law Examination 1992-01-30
  • S65 Uniform Investment Adviser Law Examination
    2004-06-14
  • S63 Uniform Securities Agent State Law Examination
    1992-01-30
Other Names
  • Thomas M Caputo

View on SEC IAPD

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