Michael Caputo

Current Employers

Employment History

• 12/2007 → 12/2018
  Summit Equities, Inc.
  Parsippany, NJ
• 12/2007 → 09/2018
  Summit Financial Resources, Inc.
  Parsippany, NJ
• 09/2018 → Present
  Purshe Kaplan Sterling Investments, Inc
  Albany, NY
• 12/2018 → Present
  Summit Financial, Llc
  Parsippany, NJ

Previous Registrations

• 2007-12-03 → 2018-12-27
  Summit Equities, Inc.
  White Plains, NY
  Parsippany, NJ
• 2008-01-04 → 2018-09-20
  Summit Financial Resources Inc
  Parsippany, NJ
• 2007-06-22 → 2007-12-14
  Park Avenue Securities Llc
  White Plains, NY
  Rye Brook, NY

Other Businesses

(1) OFFERS INSURANCE AS A BROKER OR AGENT THROUGH NUMEROUS INSURANCE COMPANIES. SOME SALES ARE THROUGH SRM, AN AFFILIATED COMPANY WHICH IS LICENSED TO SELL VARIOUS INSURANCE PRODUCTS. MR. CAPUTO EARNS BOTH CASH AND NON-CASH COMPENSATION BASED ON SALES OF THESE PRODUCTS. (2) MR. CAPUTO IS THE PRESIDENT OF MAC PENSION, INC. SINCE 5/1996, LOCATED AT 1025 WESTCHESTER AVENUE, SUITE 318 WHITE PLAINS, NY 10604. MAC PENSION, INC. PAYS LEASES AND EXPENSES AND COLLECTS A PORTION OF IT BACK FROM THE REPS IN THE OFFICE ON A MONTHLY BASIS. MR. CAPUTO SPENDS 1% OF HIS TIME DEVOTED TO THIS OUTSIDE BUSINESS DURING SECURITIES TRADING HOURS. (3) Summit Financial, LLC: d/b/a National Wealth Advisors, Inc. Investment Related. 1025 Westchester Avenue, Suite 318, White Plains, NY 10604. RIA. IAR. 09/2018. 160 Hrs/Mo; All During Trading Hours. Investment Advisory. (4) National Wealth Advisors, Inc.: President, Investment Related. 1025 Westchester Avenue, Suite 318, White Plains, NY 10604. DBA for Business,99% Percent of Time, All During Trading Hours. DBA for Business. (5) Estate Planning Council of Westchester County. Not Investment Related. 415 Gramatan Ave, #3D, Mount Vernon, NY 10552. Professional Association. Member. 2-3 hours per month during trading. Review association membership, education of members, operations, go to board meetings. (6) Trust Financial Services. Investment Related. 147 Columbia Turnpike, Suite 109, Florham Park, NJ 07932. Breakage Insurance. Start 12/2020. 1hrs/mo, during trading hours. Unwrite VUL product. (7) Michael Caputo: Sole Proprietorship - Not Investment related - At personal address - Pass-through for tax purposes - Owner - 1/2/1985 - 0 hours/0 trading hours a month - A pass-through entity for tax filing purposes. (8) Fieldpoint Private Bank & Trust, located at 100 Field Point Road, Greenwich, CT 06830. Refers clients to the bank and receives a referral fee for bank loans, asset backed security loans, mortgages and other type of loans. No position held within the bank, this is just referral business to help Summit clients with services they provide; started March 17, 2023. Less than one hour per month, if there is a fit for a banking service for a client. Zero to less than 1hour during securities trading. 9. Orange County Chamber of Commerce: Member; Not investment related; Non-profit business association; Attend events hosted by the chamber for networking opportunities; Networking group for business owners; https://orangeny.com; Address 68 N Plank Rd., 2nd Fl; Newburgh, NY 12550; Start: 8/1/2025; 4 hrs. mth devoted to this activity; 0 hrs. during securities trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-06-21
• S63 Uniform Securities Agent State Law Examination
  1986-07-30

Other Names

• Michael Anthony Caputo
• Michael Caputo