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Ian Caputo

Stifel, Nicolaus & Company, Incorporated

New York, NY

CRD 7468398

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-05-30
TX RA APPROVED 2023-05-30
  • NY RA
    APPROVED
    Since 2023-05-30
  • TX RA
    APPROVED
    Since 2023-05-30

Branch Locations

1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • 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
Ubs Financial Services, Inc. New York NY 11/2021 08/2022
Kddi America Staten Island NY 10/2020 11/2021
Amazon Staten Island NY 10/2019 10/2020
Cortland Crush Baseball Cortland NY 09/2018 08/2019
Richmond County Country Club Staten Island NY 07/2016 08/2018
Suny Cortland Sport Management Cortland NY 08/2017 08/2018
Stifel Nicolaus New York NY 08/2022 Present
  • 11/2021 → 08/2022
    Ubs Financial Services, Inc.
    New York, NY
  • 10/2020 → 11/2021
    Kddi America
    Staten Island, NY
  • 10/2019 → 10/2020
    Amazon
    Staten Island, NY
  • 09/2018 → 08/2019
    Cortland Crush Baseball
    Cortland, NY
  • 07/2016 → 08/2018
    Richmond County Country Club
    Staten Island, NY
  • 08/2017 → 08/2018
    Suny Cortland Sport Management
    Cortland, NY
  • 08/2022 → Present
    Stifel Nicolaus
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-26
  • S66 Uniform Combined State Law Examination
    2023-05-26

View on SEC IAPD

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