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Mark A Caccavo

Rainmaker Securities, LLC

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About Mark A Caccavo

Mark Caccavo is a financial advisor who has been in the industry since 2001. Mark is currently registered with Rainmaker Securities, LLC and has previously been employed with Santander Investment Securities Inc., Natixis Securities North America Inc., Natixis Bleichroeder LLC, C.E. Unterberg, Towbin, LLC, Charles Schwab & Co., Inc., and UST Securities Corp. Mark is licensed to provide investment advice in California, Florida, Georgia, Illinois, New Jersey and New York. Mark has passed Series 7, 9, 10, 24, 63 and 79 exams.

Firm Information

Mark Caccavo is currently registered with Rainmaker Securities, LLC. Rainmaker Securities, LLC is a Limited Liability Company formed on March 9, 2004. The firm is registered with the SEC and in 28 states.

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Mark Caccavo’s Registration & Firm History

FL

03/31/2020 - Present

Rainmaker Securities, LLC (CORAL GABLES FL)

NY

05/23/2011 - 01/22/2016

SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)

NY

08/16/2004 - 05/09/2011

NATIXIS SECURITIES NORTH AMERICA INC. (NEW YORK NY)

NY

02/26/2010 - 03/19/2010

NATIXIS BLEICHROEDER LLC (NEW YORK NY)

NY

05/07/2003 - 08/10/2004

C.E. UNTERBERG, TOWBIN, LLC. (NEW YORK NY)

TX

09/01/2001 - 12/31/2002

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

CT

01/28/1997 - 09/07/2001

UST SECURITIES CORP. (STAMFORD CT)

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Licenses & Designations

BC

Issued 12/04/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/19/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/06/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/02/2001

Series 24 - General Securities Principal Examination

BC

Issued 05/24/2012

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 01/22/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark A Caccavo.
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