Robert J. Cavallero
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.
Robert Joseph Cavallero was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 4 firms and has passed the Series 63, Series 72, Series 52 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2014 - September 26, 2014
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
December 20, 2006 - September 4, 2013
FHN FINANCIAL SECURITIES CORP.
March 4, 1998 - April 12, 2000
COMMERZBANK CAPITAL MARKETS CORP.
July 25, 1987 - February 19, 1998
AUBREY G. LANSTON & CO., INC.
Primary Firm SEC Registration
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
CRD#: 149326 / SEC#: 801-116875, 8-68138
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 72
Date: 12/19/2006
Government Securities Representative ExaminationCurrent Firm
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
CRD#: 149326 / SEC#: 801-116875, 8-68138
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| ANTHONY, DANNELL WAYNE | FINOP, DIRECTOR OF FINANCE | 7038021 |
| BOHNSACK, NICHOLAS GREGORY | PRESIDENT / COO | 4571796 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| GABAY, EILEEN MARGARET | CHIEF OPERATING OFFICER | 5602349 |
| LANGENFELD, JON A | DIRECTOR | 4322120 |
| LOGUE, SOFIA | CHIEF COMPLIANCE OFFICER | 6406784 |
| RISSMILLER, DONALD JAMES | VICE CHAIRMAN / PRINCIPAL | 5227351 |
| TOTORO, MICHAEL A | CHIEF TECHNOLOGY OFFICER | 1552053 |
| TRENNERT, JASON RICHARD | CHAIRMAN / CEO | 2079457 |
Red Flags
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