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RALPH CAPUTO
RALPH EDWARD CAPUTO
CRD#: 40155
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 THE TRADE CENTER, 24 AIRPORT RD
STE 305
WEST LEBANON, NH 03784
Registration History
1970197519801985199019952000200520102015202020252 FIRMS1999 - 2002 (3 years)2 FIRMS2002 - 2007 (4 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (14 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 1999 (5 years)BLEHMAN BROTHERS INC. (CRD# 7506)1978 - 1993 (15 years)BMOSELEY, HALLGARTEN & ESTABROO... (CRD# 7501)1976 - 1978 (2 years)BMOSELEY, HALLGARTEN & ESTABROO... (CRD# 6679)1976 - 1976 (<1 year)BADVEST, INC. (CRD# 10)1971 - 1975 (3 years)BHUTCHINS, MIXTER & PARKINSON I... (CRD# 905)1969 - 1972 (3 years)
License(s)

State Registrations

B
Arizona 3/3/2014

IA
New Hampshire 1/21/2011

B
California 1/21/2011

B
New Hampshire 1/27/2011

B
Florida 1/21/2011

B
New Jersey 11/13/2012

B
Maine 1/23/2017

B
New York 1/21/2011

B
Maryland 1/21/2011

B
Vermont 1/21/2011

B
Massachusetts 1/21/2011

B
Virginia 1/21/2011

B
Minnesota 6/4/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:11025)
THE TRADE CENTER, 24 AIRPORT RD STE 305, WEST LEBANON, NH 03784
Registered with this firm since 1/21/2011

B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
THE TRADE CENTER, 24 AIRPORT RD STE 305, WEST LEBANON, NH 03784
Registered with this firm since 1/21/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 01/27/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LEBANON, NH
B
06/01/2009 - 01/27/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) LEBANON, NH
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LEBANON, NH
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LEBANON, NH
IA
09/16/2002 - 04/02/2007 MORGAN STANLEY (CRD#:7556) WEST LEBANON, NH
B
09/16/2002 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) WEST LEBANON, NH
IA
04/29/1999 - 10/01/2002 UBS PAINEWEBBER INC. (CRD#:8174) CONCORD, NH
B
04/27/1999 - 10/01/2002 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
07/31/1993 - 04/28/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
06/02/1978 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
04/28/1976 - 06/05/1978 MOSELEY, HALLGARTEN & ESTABROOK INC (CRD#:7501)
B
04/22/1976 - 04/28/1976 MOSELEY, HALLGARTEN & ESTABROOK INC. (CRD#:6679)
B
04/28/1971 - 03/06/1975 ADVEST, INC. (CRD#:10)
B
11/26/1969 - 11/12/1972 HUTCHINS, MIXTER & PARKINSON INCORPORATED (CRD#:905)
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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.