Kip R. Caffey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kip Reed Caffey was a registered financial professional .
Kip is a previously registered financial professional and started their career in finance in 1982. Kip had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2010 - December 31, 2015
CARY STREET PARTNERS
July 2, 2004 - December 31, 2015
CARY STREET PARTNERS
July 26, 2001 - March 31, 2004
TRUIST SECURITIES, INC.
July 20, 1999 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
May 20, 1982 - July 6, 1999
J.C. BRADFORD & CO.
Primary Firm SEC Registration
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
