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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Cafaro is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Carl has been in the securities industry since 2000. Carl is registered with the Securities and Exchange Commission (SEC) and has been actively registered with FINRA since 2009. Carl has passed the Series 63, 66 and 7 exams as well as the SIE exam. Carl has a wide range of experience in the securities industry and is well-equipped to provide financial advice to individual and institutional clients. Carl provides a variety of financial services including portfolio management, investment advisory, and financial planning. Carl is currently licensed to provide investment advice in 45 states and the District of Columbia. Carl is a resident of Newton, Massachusetts.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
08/18/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWTON MA)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (NEWTON MA)
NY
11/15/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
RI
08/18/2000 - 11/07/2002
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BOTH
Issued 11/09/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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