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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-12 |
| NJ | RA | APPROVED | 2024-03-21 |
Branch Locations
442 Highway 35 South Bldg A 1St Floor, Eatontown, NJ 07724 • United States
3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corp | Red Bank | NJ | 01/2015 | 06/2022 |
| National Asset Management | Eatontown | NJ | 06/2016 | 06/2022 |
| Cetera Advisors Llc | St Cloud | MN | 06/2022 | Present |
| Caputo Asset Management | Eatontown | NJ | 05/2015 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
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;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-17 |
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