Christopher Nicholas Caputo

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 01/2015 → 06/2022
  National Securities Corp
  Red Bank, NJ
• 06/2016 → 06/2022
  National Asset Management
  Eatontown, NJ
• 06/2022 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 05/2015 → Present
  Caputo Asset Management
  Eatontown, NJ
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2016-06-21 → 2022-06-21
  B. Riley Wealth Advisors, Inc.
  Eatontown, NJ
  Red Bank, NJ
• 2011-02-17 → 2015-01-06
  Wells Fargo Clearing Services, Llc
  Spring Lake, NJ
• 2006-01-13 → 2011-02-24
  Ubs Financial Services Inc.
  Wall, NJ
  Edison, NJ
• 2002-06-20 → 2006-01-17
  Morgan Stanley Dw Inc.
  Red Bank, NJ
  Red Bank, NJ

Other Businesses

1. NAME OF OTHER BUSINESS: CAPUTO ASSET MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 05/2015, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC FOR TAX PURPOSES;

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-09-11
• S63 Uniform Securities Agent State Law Examination
  1987-03-17

Other Names

• Christopher N Caputo
• Christopher Nicholas Caputo
• Christopher Caputo