Theodore R. Palfini
Professional summary
Theodore Richard Palfini, who also goes by Ted Palfini, is a registered financial advisor currently at CAVALOT CAPITAL located in Redding, California.
Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Theodore has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Theodore Richard Palfini's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2023 - Present
CAVALOT CAPITAL
Office #1: 448 Redcliff Dr Ste 240, Redding, CA 96002May 18, 2009 - January 10, 2023
OSAIC SERVICES, INC.
October 31, 2005 - January 10, 2023
OSAIC SERVICES, INC.
December 17, 1997 - October 31, 2005
SUNAMERICA SECURITIES, INC.
November 19, 1989 - April 22, 1993
OSAIC WEALTH, INC.
January 25, 1988 - November 19, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 25, 1988 - November 19, 1997
OSAIC FA, INC.
December 24, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 18, 1987 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/9/2023)
(1/6/2023)
Exams
Current Firm
CAVALOT CAPITAL
CRD#: 312088 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 277 |
| AUM (Assets Under Management) | $ 57,398,294 |
Red Flags
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