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AC

Angel R. Caballero

CAPITAL ONE SECURITIES
New York, NY 10171
Some features on this profile are disabled
CRD#: 1389286
AC

Professional summary

Angel Rafael Caballero, who also goes by Angel R Caballero, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York and KIPPSDESANTO & COMPANY located in Mclean, Virginia.

Angel is registered as a RR (Registered Representative) and started their career in finance in 1992. Angel has worked at 13 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Angel R Caballero

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Angel Rafael Caballero's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 30, 2019 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 299 Park Avenue 28th Floor, New York, NY 10171
BD
CRD#: 44158
New York, NY
Current

January 16, 2020 - Present

KIPPSDESANTO & COMPANY

Office #1: 1675 Capital One Dr. Suite 1200, Mclean, VA 22102
BD
CRD#: 45763
Mclean, VA
Current

June 10, 2022 - Present

TRIPLETREE, LLC

Office #1: 299 Park Avenue 14th Floor, New York, NY 10171
BD
CRD#: 42820
New York, NY
Past

January 25, 2017 - February 19, 2019

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

July 25, 2014 - September 26, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 4, 2010 - March 11, 2014

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

August 19, 2008 - February 5, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
WAYNE, NJ
Past

July 19, 2005 - July 25, 2008

WAMU CAPITAL CORP.

BD
CRD#: 119069
NEW YORK, NY
Past

October 7, 2002 - July 29, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

June 21, 2001 - October 9, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 6, 2000 - May 16, 2001

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

November 10, 1997 - January 11, 2001

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

December 8, 1992 - October 28, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/30/2019)
RR
Virginia
(1/16/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/6/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/26/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TL
TRIPLETREE, LLC
CHERRY TREE & CO., LLC | TRIPLETREE, LLC

CRD#: 42820 / SEC#: , 8-50015

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437
Mailing Address
8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437
Phone number
(952) 223-8400
Established
Minnesota since 01/13/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE, N.A.SHAREHOLDER
HALPRIN, GABRIELLE BAILLEUXCHIEF FINANCIAL OFFICER/FINOP5087341
MULLIGAN, ROBERTCHIEF COMPLIANCE OFFICER1584973
ROER, PATRICIA LANGDIRECTOR3157205
ROTH, JUSTIN JPRESIDENT/HEAD OF INVESTMENT BANKING6886704
TULIP, STEVEN ANDREWDIRECTOR2540149

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.

Company Information

TRIPLETREE, LLC

CRD#: 42820New York, NY 10171

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