Mark Michael Caputo

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2010 → 11/2016
  Wells Fargo Advisors Llc
  Dallas, TX
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Dallas, TX

Previous Registrations

• 2009-06-01 → 2010-04-12
  Morgan Stanley
  Dallas, TX
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Dallas, TX
• 1984-03-16 → 2007-04-02
  Morgan Stanley Dw Inc.
  Dallas, TX
  Dallas, TX

Other Businesses

SAGE NATURAL RESOURCES, LLC; NOT INVESTMENT RELATED; TULSA,OK; 100% OWNERSHIP; START DATE 01/01/2013; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; GAS DRILLING LEASE.| CITY OF LEWISVILLE, TX 2035 STEERING; NOT INV RELATED; LEWISVILLE, TX; PUBLIC ARTS PLANNING; COMMITTEE MEMBER; START DATE: 08/28/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams

• S63 Uniform Securities Agent State Law Examination
  1980-02-12