Michael Starr Caputo
Investment Adviser Representative at USA Financial Securities LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Michael Starr Caputo is an investment adviser representative with USA Financial Securities LLC in Birmingham, AL, where they have been registered since 2024. They have worked in the securities industry since 2002 and have been registered with 5 firms, including Stonex Advisors Inc. and Sterne AGEE Asset Management, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Alabama, Florida, and North Carolina.
Registrations & licenses
- Investment adviser:
- Alabama, Florida, North Carolina
- Broker:
2 states and territories
Alabama, Florida
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Stonex Securities IncOct 2009 – Jul 2024Birmingham, AL
- Stonex Advisors IncJun 2016 – Jul 2024Birmingham, AL
- USA Financial SecuritiesJul 2024 – no end date reportedAda, MI
- Headwater Asset ManagementNov 2009 – no end date reportedBirmingham, AL
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About USA Financial Securities LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
USA Financial offers coaching and consulting, incorporated compliance, transition assistance, marketing support, attentive operations, mergers/acquisition/succession, investments and asset management (including a TAMP introduced in 2016), financial planning, insurance and annuities, and integrated technology.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 131
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Ada, MI
- Founded:
- 1988
- SEC file number:
- 801-68276
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 27, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael Starr Caputo has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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