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Anthony S Caputo

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Iselin, NJ

Staten Island, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED 2014-06-26
NJ RA APPROVED 2014-06-17
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2014-06-26
  • NJ RA
    APPROVED
    Since 2014-06-17

Branch Locations

194 Wood Ave S, Iselin, NJ 08830 • United States

Staten Island, NY • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 02/2014 Present
Bank Of America, N.A. Pennington NJ 04/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-13
  • S66 Uniform Combined State Law Examination
    2014-06-13
Other Names
  • Anthony Stephen Caputo

View on SEC IAPD

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PARSIPPANY, NJ
OSAIC WEALTH, INC. · PARSIPPANY, NJ
LINCOLN INVESTMENT · Parsippany, NJ
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · PARSIPPANY, NJ
VETERI PLACE CORPORATION · PARSIPPANY, NJ
LEICHT FINANCIAL PLANNING AND WEALTH MANAGEMENT · PARSIPPANY, NJ
CETERA INVESTMENT ADVISERS LLC · PARSIPPANY, NJ

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