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Joseph Anthony Caputo

Baltimore-Washington Financial Advisors

Columbia, MD

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Current Employers
Baltimore-Washington Financial Advisors

10960 Grantchester Way Suite 110, Columbia, MD 21044 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2015-11-13
MD RA APPROVED 2012-11-27
  • TX RA
    APPROVED
    Since 2015-11-13
  • MD RA
    APPROVED
    Since 2012-11-27

Branch Locations

10960 Grantchester Way Suite 110, Columbia, MD 21044 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Baltimore-Washington Financial Advisors, Inc. Columbia MD 09/2012 Present
  • 09/2012 → Present
    Baltimore-Washington Financial Advisors, Inc.
    Columbia, MD
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-19
S63 Uniform Securities Agent State Law Examination 2006-11-02
  • S65 Uniform Investment Adviser Law Examination
    2008-02-19
  • S63 Uniform Securities Agent State Law Examination
    2006-11-02
Designations

View on SEC IAPD

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