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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

MICHAEL STARR CAPUTO

Advisor at USA FINANCIAL SECURITIES LLC

ADA, MI | Birmingham, AL

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Search this name across graphsid dfx:ria:6b76a819-e272-045f-987f-793bd0633b28

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 6, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: USA FINANCIAL SECURITIES LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 8, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S65|S63
First exam: Jun 8, 2000
First registration: Jan 6, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4177450

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
USA FINANCIAL SECURITIES LLC	Independent wealth	Jul 23, 2024	n/a	yes	Birmingham, AL\|ADA, MI	Current employment
STONEX ADVISORS INC.	Bd affiliated wealth	Jun 30, 2016	Jul 23, 2024	no	BIRMINGHAM, AL\|BIRMINGHAM, AL	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Oct 26, 2009	Jun 30, 2016	no	BIRMINGHAM, AL	Previous registration
COLONIAL ASSET MANAGEMENT INC	n/a	May 29, 2008	Oct 28, 2009	no	BIRMINGHAM, AL\|MONTGOMERY, AL	Previous registration
BANCORPSOUTH INVESTMENT SERVICES, INC.	Former SEC adviser	Jan 6, 2004	May 21, 2008	no	BIRMINGHAM, AL\|JACKSON, MS\|BIRMINGHAM, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STONEX ADVISORS INC.	USA FINANCIAL SECURITIES LLC	Jul 23, 2024	Jul 23, 2024	0	Firm change	Ibd to RIA
STERNE AGEE ASSET MANAGEMENT, INC.	STONEX ADVISORS INC.	Jun 30, 2016	Jun 30, 2016	0	Bulk transfer	Other
COLONIAL ASSET MANAGEMENT INC	STERNE AGEE ASSET MANAGEMENT, INC.	Oct 28, 2009	Oct 26, 2009	-2	Firm change	Other
BANCORPSOUTH INVESTMENT SERVICES, INC.	COLONIAL ASSET MANAGEMENT INC	May 21, 2008	May 29, 2008	8	Firm change	Other

Relationships

Registered with (5)

→ USA FINANCIAL SECURITIES LLCRegistered adviserregistration: current employment
Jul 23, 2024 to presentfactForm ADV
→ STONEX ADVISORS INC.Registered adviserregistration: previous registration
Jun 30, 2016 to Jul 23, 2024factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 26, 2009 to Jun 30, 2016factForm ADV
→ COLONIAL ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
May 29, 2008 to Oct 28, 2009factForm ADV
→ BANCORPSOUTH INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 6, 2004 to May 21, 2008factForm ADV

Dated events

Occurred
Jul 23, 2024
Advisor changed firm
Michael Starr Caputo left Stonex Advisors Inc. for Usa Financial Securities Llc (registered 2024-07-23)
Form ADVobserved 5 days ago