Angel R. Caballero
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.
Angel Rafael Caballero, who also goes by Angel R Caballero, was a registered financial professional .
Angel is a previously registered financial professional and started their career in finance in 1992. Angel had worked at 14 firms and has passed the Series 63, Series 57TO, Series 79TO, 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
January 20, 2026 - February 6, 2026
TD SECURITIES (USA) LLC
June 10, 2022 - January 20, 2026
TRIPLETREE, LLC
January 16, 2020 - January 20, 2026
KIPPSDESANTO & COMPANY
October 30, 2019 - January 20, 2026
CAPITAL ONE SECURITIES, INC.
January 25, 2017 - February 19, 2019
METLIFE INVESTORS DISTRIBUTION COMPANY
July 25, 2014 - September 26, 2016
J.P. MORGAN SECURITIES LLC
January 4, 2010 - March 11, 2014
DAIWA CAPITAL MARKETS AMERICA INC.
August 19, 2008 - February 5, 2009
WAMU INVESTMENTS, INC.
July 19, 2005 - July 25, 2008
WAMU CAPITAL CORP.
October 7, 2002 - July 29, 2005
J.P. MORGAN SECURITIES INC.
June 21, 2001 - October 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
December 6, 2000 - May 16, 2001
GOLDMAN SACHS & CO. LLC
November 10, 1997 - January 11, 2001
DEUTSCHE BANK SECURITIES INC.
December 8, 1992 - October 28, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
