Michael Cavataio
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.
Michael Cavataio, who also goes by Michael John Cavataio, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 25 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2014 - November 14, 2019
SIEBERT WILLIAMS SHANK & CO., LLC
February 16, 2007 - December 8, 2014
MURIEL SIEBERT & CO., LLC
October 1, 2000 - February 7, 2007
PATRICK J. COLLINS INC
December 2, 1993 - April 1, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 22, 1984 - July 7, 1987
MULLER AND COMPANY, INC.
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
Series 55
Date: 11/13/2008
Limited Representative-Equity Trader ExamSeries 25
Date: 8/19/1999
NYSE Trading Assistant ExaminationCurrent Firm
SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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