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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2011-01-21
  • NH RA
    APPROVED
    Since 2011-01-21

Branch Locations

The Trade Center, 24 Airport Rd Ste 305, West Lebanon, NH 03784 • 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
Wells Fargo Advisors Financial Network Llc West Lebanon NH 01/2011 Present
Previous Registrations
  • 2009-06-01 → 2011-01-27
    Hanover, NH
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Lebanon, NH
  • 2002-09-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    West Lebanon, NH
    West Lebanon, NH
  • 1999-04-29 → 2002-10-01
    Concord, NH
Other Businesses

NOTARY PUBLIC; NOT INVESTMENT RELATED; GRAFTON COUNTY, NH; START DATE 4/28/2011; 1 HOUR PER MONTH; 0 DURING TRADING; DUTIES ARE TO NOTORIZE DOCUMENTS. DECA WEALTH MANAGEMENT, LLC, INVT RELATED, WEST LEBANON, NH, 50% OWNERSHIP, START DATE 1/14/2011, ALL HRS PER MONTH, ALL HRS DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-09
S63 Uniform Securities Agent State Law Examination 1983-09-26
  • S65 Uniform Investment Adviser Law Examination
    1995-11-09
  • S63 Uniform Securities Agent State Law Examination
    1983-09-26
Other Names
  • Ralph Edward Caputo

View on SEC IAPD

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