Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Michael Caiaze is an active investment advisor representative registered with RBC Capital Markets, LLC. Robert has been in the industry since March 29, 1995. Prior to joining RBC Capital Markets, LLC, Robert was employed by WELLS FARGO CLEARING SERVICES, LLC from November 18, 2005 to January 30, 2018 and by ADVEST, INC. from March 30, 1995 to December 12, 2005. Robert has a total of 30 approved state registrations and 3 approved IA state registrations. Robert also holds Series 7, Series 63, Series 65 and SIE licenses. Robert provides financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, portfolio management for individuals and portfolio management for pooled investment vehicles to insurance companies, charitable organizations, high net worth individuals, pension and profit sharing plans, corporations or other businesses, individuals other than high net worth, state or municipal government entities.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CT
01/07/2021 - Present
RBC Capital Markets, LLC (Farmington CT)
CT
11/18/2005 - 01/30/2018
WELLS FARGO CLEARING SERVICES, LLC (FARMINGTON CT)
CT
03/30/1995 - 12/12/2005
ADVEST, INC. (HARTFORD CT)
IA
Issued 12/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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