Unclaimed
Richard Joseph Cafeo has been in the securities industry since November 4, 2001. Richard is currently registered with Fidelity Brokerage Services LLC and has been with the firm since February 4, 2014. Richard previously worked at Northwestern Mutual Investment Services, LLC, Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Company, Inc. Richard holds Series 6, 7, 24, 26 and SIE licenses. Richard is currently licensed in 53 states, including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming.
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.
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.
1
2
RI
02/04/2014 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
VA
03/01/2010 - 01/10/2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (RESTON VA)
VA
01/01/2008 - 02/19/2009
FIDELITY BROKERAGE SERVICES LLC (ALEXANDRIA VA)
MA
10/03/2000 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (MARLBOROUGH MA)
BC
Issued 02/11/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/11/2016
Series 24 - General Securities Principal Examination
BC
Issued 05/11/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2015
Series 7 - General Securities Representative Examination
BC
Issued 10/02/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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