Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raymond? Claim Your ProfileRaymond Dominic Caggiano is a financial advisor with over 20 years of experience in the financial services industry. Raymond has held various positions at prominent firms including Wells Fargo Advisors, LLC, CitiStreet Equities LLC, and Dean Witter Reynolds Inc. Currently, Raymond is a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. working in their NEW YORK, NY office. Raymond has passed several securities exams, including the Series 7, Series 31, Series 63, and Series 66, as well as the Securities Industry Essentials Examination. Raymond's areas of specialization include fixed income, mutual funds, equities, options, and variable annuities.
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
NY
11/14/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NJ
11/08/2018 - 07/31/2020
SANTANDER SECURITIES LLC (OAKHURST NJ)
NJ
12/01/2015 - 10/30/2018
SORRENTO PACIFIC FINANCIAL, LLC (POINT PLEASANT BEACH NJ)
NJ
09/19/2012 - 12/01/2015
SANTANDER SECURITIES LLC (OCEAN NJ)
NJ
07/26/2012 - 09/20/2012
LPL FINANCIAL LLC (NEPTUNE NJ)
NJ
02/17/2011 - 06/01/2012
ALLSTATE FINANCIAL SERVICES, LLC (BRICK NJ)
NJ
07/24/2002 - 07/01/2010
WELLS FARGO ADVISORS, LLC (POINT PLEASANT NJ)
NJ
04/11/2001 - 05/16/2002
CITISTREET EQUITIES LLC (SOMERSET NJ)
NY
09/21/1998 - 12/07/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 01/23/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1998
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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